SEC Form 4 · accession 0000914190-15-000101
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter C. Duprey
Officer — President and CEO · Director
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 StockF1 | Feb 19, 2015 | A | 56,651 | $0.00 | A | 329,855 | D | |
| Common Stock | holding | — | — | — | 5,520 | 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 | $17.70 | holding | — | — | — | — | Nov 15, 2020 | Common Stock | 22,000 | 22,000 | D |
| Stock Option (Right to Buy)F3 | $3.40 | holding | — | — | — | — | May 4, 2022 | Common Stock | 58,083 | 58,083 | D |
Explanation of responses
- F1Includes (i) 29,042 restricted stock units that vest in 14,521 share increments on each of 5/4/15 and 5/14/16; (ii) 65,000 restricted stock units that vest in 32,500 share increments on each of 2/21/15 and 2/21/16; (iii) 35,890 restricted stock units that vest in increments of 11,963 shares on each of 2/20/15 and 2/20/16 and 11,964 shares on 2/20/17; and (iv) 56,651 restricted stock units that vest in increments of 18,884 shares on each of 2/19/16 and 2/19/18 and 18,883 shares on 2/19/17."
- F25,500 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.
- F314,520 shares vest on 5/4/13 and 14,521 shares vest on each of 5/4/14, 5/4/15 and 5/4/16.