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BROADWIND, INC. — Director's Dealing 2014
Feb 25, 2014
34590_dirs_2014-02-25_dab4c8a3-1d44-4ad5-8265-77ed8fb4ffe8.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: 2014-02-21
Reporting Person: Duprey Peter C. (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-21 | Common Stock | F | 10722 | $8.60 | Disposed | 232011 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 6678 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $17.70 | 2020-11-15 | Common Stock (22000) | 22000 | Direct |
| Stock Option (Right to Buy) | $3.40 | 2022-05-04 | Common Stock (58083) | 58083 | Direct |
Footnotes
F1: Includes 4,500 restricted stock units that vest on 11/15/14; (ii)) 43,563 restricted stock units that vest in 14,521 share increments on each of 5/4/14, 5/4/15 and 5/4/16; and (iii) 65,000 restricted stock units that vest in 32,500 share increments on each of 2/21/15 and 2/21/16.
F2: Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated February 24, 2014.
F3: 5,500 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.
F4: 14,520 shares vest on 5/4/13 and 14,521 shares vest on each of 5/4/14, 5/4/15 and 5/4/16.