SEC Form 4 · accession 0000914190-15-000099
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert R Rogowski
Officer — VP and Corporate Controller · 10% Owner
Period of report
Feb 19, 2015
Accepted (ET)
Feb 23, 2015 · 6:45 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 | 5,281 | $0.00 | A | 28,930 | D | |
| Common Stock | holding | — | — | — | 3,863 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $15.00 | holding | — | — | — | — | May 5, 2021 | Common Stock | 1,750 | 1,750 | D |
| Stock Option (Right to Buy)F3 | $3.394 | holding | — | — | — | — | May 4, 2022 | Common Stock | 5,647 | 5,647 | D |
Explanation of responses
- F1Includes (i) 438 restricted stock units that vest on 5/5/15; (ii) 2,824 restricted stock units that vest in 1,412 share increments on each of 5/4/15 and 5/4/16; (iii) 3,462 restricted stock units that vest in 1,154 share increments on each of 2/20/15, 2/20/16 and 2/20/17; (iv) 6,271 restricted stock units that vest in increments of 3,135 shares on 2/21/15 and 3,136 shares on 2/21/16; and (v) 5,281 restricted stock units that vest in increments of 1,761 shares on 2/19/16 and 1,760 shares on each of 2/19/17 and 2/19/18.
- F2437 shares vest on each of 5/5/12 and 5/5/14 and 438 shares vest on each of 5/5/13 and 5/5/15.
- F31,411 shares vest on 5/4/13 and 1,412 shares vest on each of 5/4/14, 5/4/15 and 5/4/16.