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BROADWIND, INC. — Director's Dealing 2015
Jan 23, 2015
34590_dirs_2015-01-23_3738400a-de7b-4bb2-a164-218981ba0db1.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: 2015-01-21
Reporting Person: AWM Investment Company, Inc. (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-01-21 | Common Stock | S | 1000 | $5.0003 | Disposed | 1925572 | Indirect |
| 2015-01-21 | Common Stock | S | 13998 | $5.002 | Disposed | 1911574 | Indirect |
Footnotes
F1: This is a weighted average price.
F2: AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Technology Fund, L.P. (TECH) and Special Situations Technology Fund II, L.P. (TECH II and together with QP, CAYMAN, SSPE and TECH, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over. 1,005,887 shares of Common Stock of the Issuer (the Shares) held by QP, 335,270 Shares held by CAYMAN, 79,837 Shares held by TECH and 490,580 Shares held by TECH II. Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. Marxe, Greenhouse and Stettner previously reported the Shares held by the Funds on Form 3 and Form 4.