SEC Form 4 · accession 0001104659-16-127336
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert R Rogowski
Officer — VP and Corporate Controller
Period of report
Jun 14, 2016
Accepted (ET)
Jun 15, 2016 · 3:30 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 | Jun 14, 2016 | S | 6,000 | $4.35 | D | 33,813 | D | |
| Common Stock | holding | — | — | — | 3,863 | I | By 401(K) Plan |
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 | $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 |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.34 to $4.37, inclusive. The reporting person undertakes to provide to Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
- F2Includes (i) 1,154 restricted stock units that vest on 2/20/17; (ii) 3,521 restricted stock units that vest 1,760 shares on 2/19/17 and 1,761 shares on 2/19/18; and (iii) 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.
- 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 vested on 5/4/16.