SEC Form 4/A · accession 0001104659-17-049015
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
Daniel E. Schueller
Officer — Pres., Brad Foote Gear Works
Period of report
Jul 25, 2017
Accepted (ET)
Aug 2, 2017 · 7:33 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,F2 | Jul 25, 2017 | F | 1,194 | $4.45 | D | 16,876 | 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) 7,600 restricted stock units that vest 3,800 shares on each of 7/25/18 and 7/25/19; and (ii) 5,670 restricted stock units that vest 1,890 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 1,384 shares withheld on July 25, 2017.