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BROADWIND, INC. — Director's Dealing 2015
Dec 11, 2015
34590_dirs_2015-12-11_c2b8ba53-4965-40bc-982b-5d1e7e348849.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: 2015-12-09
Reporting Person: REILAND DAVID P (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-12-09 | Common Stock | P | 1942 | $2.02 | Acquired | 26988 | Direct |
| 2015-12-10 | Common Stock | P | 8058 | $2.08 | Acquired | 35046 | 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: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.02 to $2.05 inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc. or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F2: Includes 7,760 shares of restricted stock units which vest on 4/23/2016.
F3: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.06 to $2.10 inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc. or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F4: 100% vested.
F5: Each share of phantom stock is the economic equivalent of one share of Broadwind Energy, Inc. common stock.
F6: 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.