SEC Form 4 · accession 0000914190-15-000199
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles H. Beynon
Director
Period of report
Apr 23, 2015
Accepted (ET)
Apr 27, 2015 · 5:27 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 | Apr 23, 2015 | A | 7,760 | $0.00 | A | 35,627 | D | |
| Common StockF2,F1 | Apr 24, 2015 | F | 904 | $4.38 | D | 34,723 | D |
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 | $80.00 | holding | — | — | — | — | Oct 24, 2017 | Common Stock | 2,500 | 2,500 | D |
| Stock Option (Right to Buy)F3 | $94.00 | holding | — | — | — | — | Apr 13, 2018 | Common Stock | 1,000 | 1,000 | D |
| Phantom StockF4,F5 | — | holding | — | — | — | — | — | Common Stock | 645 | 645 | D |
Explanation of responses
- F1Includes 7,760 shares of restricted stock units which vest on 4/23/2016.
- F2The 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.
- F3100% vested.
- F4Each share of phantom stock is the economic equivalent of one share of Broadwind Energy common stock.
- F5Phantom stock credited to participant's account in 2008 pursuant to and under the conditions of the Broadwind Energy, Inc. Deferred Compensation Plan. The value of the participant's account shall be paid to the participant in a single lump-sum payment, in cash, on the earliest of the participant's separation from service, death or change-in-control.