SEC Form 4 · accession 0001104659-17-011300
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric B. Blashford
Officer — Pres., Broadwind Towers, Inc.
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 | Feb 21, 2017 | A | 14,187 | $0.00 | A | 63,038 | D | |
| Common StockF2,F3 | Feb 21, 2017 | F | 1,578 | $5.43 | D | 61,460 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 14,187 restricted stock units that vest 4,729 shares on each of 2/21/18, 2/21/19 and 2/21/20.
- F2The 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.
- F3Includes (i) 700 restricted stock units that vest on 10/22/17; (ii) 4,052 restricted stock units that vest on 2/19/18; (iii) 24,458 restricted stock units that vest 12,229 shares on each of 2/22/18 and 2/22/19; and (iv) 14,187 restricted stock units that vest 4,729 shares on each of 2/21/18, 2/21/19 and 2/21/20.