SEC Form 4 · accession 0000914190-15-000098
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David W. Fell
Officer — VP, General Counsel and Secy
Period of report
Feb 19, 2015
Accepted (ET)
Feb 23, 2015 · 6:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001120370
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 19, 2015 | A | 5,700 | $0.00 | A | 25,878 | D | |
| Common Stock | holding | — | — | — | 3,815 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes (i) 1,045 restricted stock units that vest on 7/28/15; (ii) 2,634 restricted stock units that vest on 8/22/15; (iii) 4,088 restricted stock units that vest in 2,044 share increments on each of 2/21/15 and 2/21/16;(iv) 3,640 restricted stock units that vest in increments of 1,213 shares on each of 2/20/15 and 2/20/16 and 1,214 shares on 2/20/17; and (v) 5,700 restricted stock units that vest in 1,900 share increments on each of 2/19/16, 2/19/17 and 2/19/18."