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BROADWIND, INC. — Director's Dealing 2017
Aug 9, 2017
34590_dirs_2017-08-09_03d4522b-9efc-4016-beef-bfb863acdb23.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: 2017-08-07
Reporting Person: REILAND DAVID P (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-08-07 | Common Stock | P | 1000 | $3.75 | Acquired | 47975 | Direct |
| 2017-08-08 | Common Stock | P | 1392 | $3.61 | Acquired | 49367 | Direct |
| 2017-08-08 | Common Stock | P | 200 | $3.60 | Acquired | 49567 | Direct |
| 2017-08-09 | Common Stock | P | 1000 | $3.55 | Acquired | 50567 | Direct |
| 2017-08-09 | Common Stock | P | 1000 | $3.51 | Acquired | 51567 | 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 (8403) | 8403 | Direct |
Footnotes
F1: Includes 3,727 restricted stock units that vest on 4/27/18.
F2: 100% vested.
F3: Each share of phantom stock is the economic equivalent of one share of Broadwind Energy, Inc. common stock.
F4: Phantom stock credited to participant's account in 2009, 2011 and 2016 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.