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BROADWIND, INC. — Director's Dealing 2016
Apr 27, 2016
34590_dirs_2016-04-27_44dda7bb-42a4-436a-b107-709aee870543.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: 2016-04-25
Reporting Person: Beynon Charles H. (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-04-25 | Common Stock | F | 2534 | $3.25 | Disposed | 32189 | Direct |
| 2016-04-26 | Common Stock | A | 10736 | — | Acquired | 42925 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $80.00 | 2017-10-24 | Common Stock (2500) | 2500 | Direct |
| Stock Option (Right to Buy) | $94.00 | 2018-04-13 | Common Stock (1000) | 1000 | Direct |
| Phantom Stock | $ | Common Stock (645) | 645 | 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 10,736 restricted stock units that vest on 4/26/17.
F3: 100% vested.
F4: Each share of phantom stock is the economic equivalent of one share of Broadwind Energy, Inc. common stock.
F5: Phantom stock credited to participant's account in 2008 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.