SEC Form 4/A · accession 0001104659-17-049012
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Jason Lee Bonfigt
Officer — VP and Corporate Controller
Period of report
Jul 24, 2017
Accepted (ET)
Aug 2, 2017 · 7:08 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 | 948 | $4.49 | D | 29,485 | D | |
| Common StockF1,F2 | Jul 25, 2017 | F | 1,016 | $4.45 | D | 28,469 | D |
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.
Remarks
This Form 4A corrects the number of shares that were withheld to satisfy the reporting person's withholding obligations in connection with the vesting of a prior restricted stock unit grant, which previously reported 983 shares withheld on July 24, 2017 and 977 shares withheld on July 25, 2017.