SEC Form 4 · accession 0000914190-15-000208

BROADWIND, INC. · BWEN

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

Reporting owner

Officer — VP and Corporate Controller

Period of report

May 4, 2015

Accepted (ET)

May 6, 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 Stock^F1,F2	May 4, 2015	F	514	$3.98	D	26,853	D
Common Stock^F1,F2	May 5, 2015	F	160	$3.98	D	26,693	D
Common Stock	holding	—	—		—	3,863	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	$15.00	holding	—	—	—	—	May 5, 2021	Common Stock	1,750	1,750	D
Stock Option (Right to Buy)^F4	$3.394	holding	—	—	—	—	May 4, 2022	Common Stock	5,647	5,647	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) 1,412 restricted stock units that vest on 5/4/16; (ii) 2,308 restricted stock units that vest in 1,154 share increments on each of 2/20/16 and 2/20/17; (iii) 3,136 restricted stock units that vest on 2/21/16; and (iv) 5,281 restricted stock units that vest in increments of 1,761 shares on 2/19/16 and 1,760 shares on each of 2/19/17 and 2/19/18.
F3437 shares vested on each of 5/5/12 and 5/5/14 , and 438 shares vested on each of 5/5/13 and 5/5/15.
F41,411 shares vested on 5/4/13, 1,412 shares vested on each of 5/4/14 and 5/4/15, and 1,412 shares vest on 5/4/16.