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BROADWIND, INC. — Director's Dealing 2016
May 5, 2016
34590_dirs_2016-05-05_de0932b7-831b-45c7-98ea-c099efba3fd7.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: 2016-05-04
Reporting Person: ROGOWSKI ROBERT R (VP and Corporate Controller)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-05-04 | Common Stock | F | 514 | $3.30 | Disposed | 39813 | 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 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) 1,154 restricted stock units that vest on 2/20/17; (ii) 3,521 restricted stock units that vest 1,760 shares on 2/19/17 and 1,761 shares on 2/19/18; and (iii) 15,838 restricted stock units that vest in increments of 5,279 shares on each of 2/22/17 and 2/22/18 and 5,280 shares on 2/22/19.
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 vested on 5/4/16.