SEC Form 4 · accession 0001104659-16-099310
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 19, 2016
Accepted (ET)
Feb 23, 2016 · 7:33 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 | Feb 19, 2016 | F | 692 | $1.79 | D | 22,887 | D | |
| Common StockF1 | Feb 22, 2016 | F | 1,187 | $1.77 | D | 21,700 | D | |
| Common StockF2,F3 | Feb 22, 2016 | A | 17,870 | $0.00 | A | 39,570 | 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 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.
- F2Represents 17,870 restricted stock units that vest 5,956 shares on 2/22/17 and 5,957 shares on each of 2/22/18 and 2/22/19.
- F3Includes (i) 1,214 restricted stock units that vest on 2/20/17; (ii) 3,800 restricted stock units that vest in 1,900 share increments on each of 2/19/17 and 2/19/18; and (iii) 17,870 restricted stock units that vest 5,956 shares on 2/22/17 and 5,957 shares on each of 2/22/18 and 2/22/19.