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BROADWIND, INC. — Director's Dealing 2017
Feb 23, 2017
34590_dirs_2017-02-23_7f6f19ac-2277-428f-870c-f779f43d3ccc.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: Fell David W. (VP, General Counsel and Secy)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-02-21 | Common Stock | A | 2992 | — | Acquired | 42562 | Direct |
| 2017-02-21 | Common Stock | F | 1134 | $5.43 | Disposed | 41428 | Direct |
| 2017-02-22 | Common Stock | F | 2168 | $5.23 | Disposed | 39260 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3811 | Indirect |
Footnotes
F1: Represents 2,992 restricted stock units that vest 997 shares on each of 2/21/18 and 2/21/19 and 998 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) 1,900 restricted stock units that vest on 2/19/18; (ii) 11,914 restricted stock units that vest 5,957 shares on each of 2/22/18 and 2/22/19; and (iii) 2,992 restricted stock units that vest 997 shares on each of 2/21/18 and 2/21/19 and 998 shares on 2/21/20.