SEC Form 4 · accession 0001044321-15-000004
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
MARXE AUSTIN W & GREENHOUSE DAVID M
10% Owner
Period of report
Jan 8, 2015
Accepted (ET)
Jan 12, 2015 · 4:15 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 | Jan 8, 2015 | S | 176,999 | $5.0036 | D | 1,935,192 | I | By Limited Partnerships |
| Common StockF1,F2 | Jan 9, 2015 | S | 8,620 | $5.0285 | D | 1,926,572 | I | By Limited Partnerships |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This is a weighted average price.
- F2This is a joint filing by Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (Cayman), Special Situations Technology Fund, L.P. (Tech) and Special Situations Technology Fund II, L.P. (Tech 2). 1,013,779 shares of Common Stock are held by QP, 337,900 shares of Common Stock are held by Cayman, 80,464 shares of Common Stock are held by Tech and 494,429 shares of Common Stock are held by Tech 2. The interest of Marxe, Greenhouse and Stettner in the shares of Common Stock owned by QP, Cayman, Tech and Tech 2 is limited to the extent of his pecuniary interest.