SEC Form 4 · accession 0001104659-18-011143

BROADWIND, INC. · BWEN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President and CEO · Director

Period of report

Feb 20, 2018

Accepted (ET)

Feb 21, 2018 · 6:50 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 Stock^F1,F2	Feb 20, 2018	A	62,700	$0.00	A	385,789	D
Common Stock	holding	—	—		—	7,328	I	By 401(K) Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F3	$99.90	holding	—	—	—	—	Jul 29, 2019	Common Stock	2,500	2,500	D
Stock Option (Right to Buy)^F4	$54.40	holding	—	—	—	—	Mar 9, 2020	Common Stock	5,323	5,323	D
Stock Option (Right to Buy)^F5	$13.50	holding	—	—	—	—	Mar 7, 2021	Common Stock	14,910	14,910	D
Stock Option (Right to Buy)^F6	$3.40	holding	—	—	—	—	May 4, 2022	Common Stock	34,129	34,129	D

F1Represents 62,700 restricted stock units that vest 20,900 shares on each of 2/20/19, 2/20/20 and 2/20/21.
F2Includes (i) 50,280 restricted stock units that vest 25,140 shares on each of 2/22/18 and 2/22/19; (ii) 41,382 restricted stock units that vest 13,794 shares on each of 2/21/18, 2/21/19 and 2/21/20; and (iii) 62,700 restricted stock units that vest 20,900 shares on each of 2/20/19, 2/20/20 and 2/20/21.
F3625 shares vested on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.
F41,330 shares vested on 3/9/11 and 1,331 shares vested on each of 3/9/12, 3/9/13 and 3/9/14.
F53,727 shares vested on each of 3/7/12 and 3/7/14 and 3,728 shares vested on each of 3/7/13 and 3/7/15.
F68,532 shares vested on each of 5/4/13, 5/4/14 and 5/4/15 and 8,533 shares vested on 5/4/16.