SEC Form 4 · accession 0000914190-15-000109

BROADWIND, INC. · BWEN

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

Reporting owner

Officer — President and CEO · Director

Period of report

Feb 20, 2015

Accepted (ET)

Feb 24, 2015 · 5:19 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,F2	Feb 20, 2015	F	3,721	$5.09	D	326,134	D
Common Stock^F1,F2	Feb 23, 2015	F	10,442	$5.01	D	315,692	D
Common Stock	holding	—	—		—	5,520	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)^F3	$17.70	holding	—	—	—	—	Nov 15, 2020	Common Stock	22,000	22,000	D
Stock Option (Right to Buy)^F4	$3.40	holding	—	—	—	—	May 4, 2022	Common Stock	58,083	58,083	D

F1The reporting person has elected to satisfy his tax withholding obligation in connection with the vesting of a prior restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grant.
F2Includes (i) 29,042 restricted stock units that vest in 14,521 share increments on each of 5/4/15 and 5/14/16; (ii) 32,500 restricted stock units that vest on 2/21/16; (iii) 23,927 restricted stock units that vest 11,963 shares on 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.
F35,500 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.
F414,520 shares vest on 5/4/13 and 14,521 shares vest on each of 5/4/14, 5/4/15 and 5/4/16.