SEC Form 4 · accession 0001104659-17-011299
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jason Lee Bonfigt
Officer — VP and Corporate Controller
Period of report
Feb 21, 2017
Accepted (ET)
Feb 23, 2017 · 5:44 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,F2 | Feb 21, 2017 | A | 5,355 | $0.00 | A | 30,433 | D | |
| Common Stock | holding | — | — | — | 2,480 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 5,355 restricted stock units that vest 1,785 shares on each of 2/21/18, 2/21/19 and 2/21/20.
- F2Includes (i) 3,752 restricted stock units that vest 1,876 shares on each of 7/22/17 and 7/22/18; (ii) 1,138 restricted stock units that vest on 7/23/17; (iii) 9,700 restricted stock units that vest 3,233 shares on each of 7/25/17 and 7/25/18 and 3,234 shares on 7/25/19; and (iv) 5,355 restricted stock units that vest 1,785 shares on each of 2/21/18, 2/21/19 and 2/21/20.