SEC Form 4 · accession 0001104659-17-003136
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terence P Fox
Director
Period of report
Aug 19, 2016
Accepted (ET)
Jan 19, 2017 · 6:48 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 | Aug 19, 2016 | S | 10,000 | $4.50 | D | 274,266 | D | |
| Common StockF1 | Nov 17, 2016 | S | 20,000 | $4.12 | D | 254,266 | D | |
| Common Stock | holding | — | — | — | 200,000 | I | By Terence P. Fox and Paula L. Fox Irrevocable Trust 2005 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF2,F3 | — | holding | — | — | — | — | — | Common Stock | 519 | 519 | D |
Explanation of responses
- F1Includes 10,736 restricted stock units that vest on 4/26/17.
- F2Each share of phantom stock is the economic equivalent of one share of Broadwind Energy, Inc. common stock.
- F3Phantom stock credited to participant's account in 2008 pursuant to and under the conditions of the Broadwind Energy, Inc. Deferred Compensation Plan. The value of the participant's account shall be paid to the participant in a single lump-sum payment, in cash, on the earliest of the participant's separation from service, death or change-in-control.