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BROADWIND, INC. — Director's Dealing 2017
Feb 23, 2017
34590_dirs_2017-02-23_71833ce9-fcb2-4962-a302-190107fa62b9.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: 2017-02-21
Reporting Person: Reisinger Joseph V. (VP, Business Development)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-02-21 | Common Stock | A | 5386 | — | Acquired | 33543 | Direct |
| 2017-02-21 | Common Stock | F | 850 | $5.43 | Disposed | 32693 | Direct |
| 2017-02-22 | Common Stock | F | 1594 | $5.23 | Disposed | 31099 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1590 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $3.4 | 2022-05-04 | Common Stock (3076) | 3076 | Direct |
Footnotes
F1: Represents 5,386 restricted stock units that vest 1,795 shares on each of 2/21/18 and 2/21/19 and 1,796 shares on 2/21/20.
F2: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.
F3: Includes (i) 1,430 restricted stock units that vest on 2/19/18; (ii) 8,755 restricted stock units that vest 4,377 shares on 2/22/18 and 4,378 shares on 2/22/19; and (iii) 5,386 restricted stock units that vest 1,795 shares on each of 2/21/18 and 2/21/19 and 1,796 shares on 2/21/20.
F4: 769 shares vested on each of 5/4/13, 5/4/14, 5/4/15 and 5/4/16.