SEC Form 4 · accession 0000914190-15-000100

BROADWIND, INC. · BWEN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Exec. VP and CFO

Period of report

Feb 19, 2015

Accepted (ET)

Feb 23, 2015 · 6:46 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 Stock^F1	Feb 19, 2015	A	30,566	$0.00	A	216,231	D
Common Stock	holding	—	—		—	5,889	I	By 401(k) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F2	$99.90	holding	—	—	—	—	Jul 29, 2019	Common Stock	2,500	2,500	D
Stock Option (Right to Buy)^F3	$54.40	holding	—	—	—	—	Mar 9, 2020	Common Stock	5,323	5,323	D
Stock Option (Right to Buy)^F4	$13.50	holding	—	—	—	—	Mar 7, 2021	Common Stock	14,910	14,910	D
Stock Option (Right to Buy)^F5	$3.40	holding	—	—	—	—	May 4, 2022	Common Stock	34,129	34,129	D

F1Includes (i) 2,948 restricted stock units that vest on 3/7/15; (ii) 17,065 restricted stock units that vest in increments of 8,532 shares on 5/4/15 and 8.533 shares on 5/4/16; (iii) 40,822 restricted stock units that vest in 20,411 share increments on each of 2/21/15 and 2/21/16; (iv) 20,491 restricted stock units that vest in increments of 6,830 shares on each of 2/20/15 and 2/20/16 and 6,831 shares on 2/20/17; and (v) 30,566 restricted stock units that vest in increments of 10,189 shares on each of 2/19/16 and 2/19/18 and 10,188 shares on 2/29/17.
F2625 shares vest on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.
F31,330 shares vest on 3/9/11 and 1,331 shares vest on each of 3/9/12, 3/9/13 and 3/9/14.
F43,727 shares vest on each of 3/7/12 and 3/7/14 and 3,728 shares vest on each of 3/7/13 and 3/7/15.
F58,532 shares vest on each of 5/4/13, 5/4/14 and 5/14/15 and 8,533 shares vest on 5/4/16.