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BROADWIND, INC. — Director's Dealing 2014
Apr 28, 2014
34590_dirs_2014-04-28_bfde9598-b996-40c1-80cb-2bdc001805cf.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2014-04-24
Reporting Person: REILAND DAVID P (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-04-24 | Common Stock | A | 2766 | — | Acquired | 20906 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $102.50 | 2018-04-16 | Common Stock (2500) | 2500 | Direct |
| Phantom Stock | $ | Common Stock (4509) | 4509 | Direct |
Footnotes
F1: Includes 2,766 shares of restricted stock units which vest on 4/24/15.
F2: 100% vested.
F3: Each share of phantom stock is the economic equivalent of one share of Broadwind Energy common stock.
F4: Phantom stock credited to participant's account in 2009 and 2011 pursuant to and under the conditions of the Broadwind Energy, Inc. Deferred Compensation Plan. The value of the participant's account shall be paid to the participant in a single lump-sum payment, in cash, on the earliest of the participant's separation from service, death or change-in-control.