SEC Form 4 · accession 0000914190-15-000111
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 20, 2015
Accepted (ET)
Feb 24, 2015 · 5:22 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,F2 | Feb 20, 2015 | F | 442 | $5.09 | D | 25,436 | D | |
| Common StockF1,F2 | Feb 23, 2015 | F | 745 | $5.01 | D | 24,691 | 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
- 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) 1,045 restricted stock units that vest on 7/28/15; (ii) 2,634 restricted stock units that vest on 8/22/15; (iii) 2,044 restricted stock units that vest on 2/21/16; (iv) 2,427 restricted stock units that vest 1,213 shares on 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.