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BROADWIND, INC. — Director's Dealing 2018
Feb 23, 2018
34590_dirs_2018-02-23_5aa5369e-ac0b-43a3-b3b7-af77a2142000.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: 2018-02-21
Reporting Person: Reisinger Joseph V. (VP, Business Development)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-02-21 | Common Stock | F | 622 | $2.31 | Disposed | 37984 | Direct |
| 2018-02-22 | Common Stock | F | 1515 | $2.30 | Disposed | 36469 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2340 | 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: 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.
F2: Includes (i) 4,378 restricted stock units that vest on 2/22/19; (ii) 3,591 restricted stock units that vest 1,795 shares on 2/21/19 and 1,796 shares on 2/21/20; and (iii) 8,002 restricted stock units that vest 2,667 shares on each of 2/20/19 and 2/20/20 and 2,668 shares on 2/20/21.
F3: 769 shares vested on each of 5/4/13, 5/4/14, 5/4/15 and 5/4/16.