SEC Form 4/A · accession 0001104659-16-118438
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert R Rogowski
Officer — VP and Corporate Controller
Period of report
Feb 22, 2016
Accepted (ET)
May 5, 2016 · 7:55 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 | Feb 22, 2016 | A | 15,838 | $0.00 | A | 40,327 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 15,838 restricted stock units that vest 5,279 shares on each of 2/22/17 and 2/22/18 and 5,280 shares on 2/22/19.
- F2Includes (i) 1,412 restricted stock units that vested on 5/4/16; (ii) 1,154 restricted stock units that vest on 2/20/17; (iii) 3,521 restricted stock units that vest 1,760 shares on 2/19/17 and 1,761 shares on 2/19/18; and (iv) 15,838 restricted stock units that vest in increments of 5,279 shares on each of 2/22/17 and 2/22/18 and 5,280 shares on 2/22/19.
Remarks
This Form 4A corrects the number of restricted stock units granted on February 22, 2016 and the corresponding footnotes, which previously reported a grant of 15,939 shares of restricted stock units vesting in increments of 5,313 shares on each of 2/22/17, 2/22/18 and 2/22/19.