AI assistant
BROADWIND, INC. — Director's Dealing 2015
May 6, 2015
34590_dirs_2015-05-06_87baf887-dce4-48bf-bea7-9140a50fc269.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2015-05-04
Reporting Person: ROGOWSKI ROBERT R (VP and Corporate Controller)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-05-04 | Common Stock | F | 514 | $3.98 | Disposed | 26853 | Direct |
| 2015-05-05 | Common Stock | F | 160 | $3.98 | Disposed | 26693 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3863 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $15.00 | 2021-05-05 | Common Stock (1750) | 1750 | Direct |
| Stock Option (Right to Buy) | $3.394 | 2022-05-04 | Common Stock (5647) | 5647 | Direct |
Footnotes
F1: The reporting person has elected to satisfy his tax withholding obligation in connection with the vesting of a prior restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grant.
F2: Includes (i) 1,412 restricted stock units that vest on 5/4/16; (ii) 2,308 restricted stock units that vest in 1,154 share increments on each of 2/20/16 and 2/20/17; (iii) 3,136 restricted stock units that vest on 2/21/16; and (iv) 5,281 restricted stock units that vest in increments of 1,761 shares on 2/19/16 and 1,760 shares on each of 2/19/17 and 2/19/18.
F3: 437 shares vested on each of 5/5/12 and 5/5/14 , and 438 shares vested on each of 5/5/13 and 5/5/15.
F4: 1,411 shares vested on 5/4/13, 1,412 shares vested on each of 5/4/14 and 5/4/15, and 1,412 shares vest on 5/4/16.