SEC Form 4 · accession 0000914190-15-000139
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephanie K Kushner
Officer — Exec. VP and CFO
Period of report
Mar 9, 2015
Accepted (ET)
Mar 11, 2015 · 4:50 pm EDT
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 | Mar 9, 2015 | F | 899 | $5.34 | D | 206,288 | D | |
| Common Stock | holding | — | — | — | 5,889 | 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)F3 | $99.90 | holding | — | — | — | — | Jul 29, 2019 | Common Stock | 2,500 | 2,500 | D |
| Stock Option (Right to Buy)F4 | $54.40 | holding | — | — | — | — | Mar 9, 2020 | Common Stock | 5,323 | 5,323 | D |
| Stock Option (Right to Buy)F5 | $13.50 | holding | — | — | — | — | Mar 7, 2021 | Common Stock | 14,910 | 14,910 | D |
| Stock Option (Right to Buy)F6 | $3.40 | holding | — | — | — | — | May 4, 2022 | Common Stock | 34,129 | 34,129 | D |
Explanation of responses
- F1The reporting person has elected to satisfy her 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) 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; (ii) 20,411 restricted stock units that vest on 2/21/16; (iii) 13,661 restricted stock units that vest in increments of 6,830 shares on 2/20/16 and 6,831 shares on 2/20/17; and (iv) 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 2/19/17.
- F3625 shares vested on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.
- F41,330 shares vested on 3/9/11 and 1,331 shares vested on each of 3/9/12, 3/9/13 and 3/9/14.
- F53,727 shares vested on each of 3/7/12 and 3/7/14 and 3,728 shares vested on each of 3/7/13 and 3/7/15.
- F68,532 shares vested on each of 5/4/13 and 5/4/14, 8,532 shares vest on 5/4/15, and 8,533 shares vest on 5/4/16.