SEC Form 4 · accession 0001104659-17-011301
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David W. Fell
Officer — VP, General Counsel and Secy
Period of report
Feb 21, 2017
Accepted (ET)
Feb 23, 2017 · 5:45 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 | 2,992 | $0.00 | A | 42,562 | D | |
| Common StockF2 | Feb 21, 2017 | F | 1,134 | $5.43 | D | 41,428 | D | |
| Common StockF2,F3 | Feb 22, 2017 | F | 2,168 | $5.23 | D | 39,260 | D | |
| Common Stock | holding | — | — | — | 3,811 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 2,992 restricted stock units that vest 997 shares on each of 2/21/18 and 2/21/19 and 998 shares on 2/21/20.
- F2The reporting person has elected to satisfy his withholding obligation in connection with the vesting of prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.
- F3Includes (i) 1,900 restricted stock units that vest on 2/19/18; (ii) 11,914 restricted stock units that vest 5,957 shares on each of 2/22/18 and 2/22/19; and (iii) 2,992 restricted stock units that vest 997 shares on each of 2/21/18 and 2/21/19 and 998 shares on 2/21/20.