SEC Form 4 · accession 0001104659-17-047064
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Jason Lee Bonfigt
Officer — VP and Corporate Controller
Period of report
Jul 24, 2017
Accepted (ET)
Jul 26, 2017 · 3:59 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 | Jul 24, 2017 | F | 983 | $4.49 | D | 29,450 | D | |
| Common StockF1,F2 | Jul 25, 2017 | F | 977 | $4.45 | D | 28,473 | 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
- F1The 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.
- F2Includes (i) 1,876 restricted stock units that vest on 7/22/18; (ii) 6,467 restricted stock units that vest 3,233 shares on 7/25/18 and 3,234 shares on 7/25/19; and (iii) 5,355 restricted stock units that vest 1,785 shares on each of 2/21/18, 2/21/19 and 2/21/20.