SEC Form 4 · accession 0001104659-18-011148
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Erik W. Jensen
Officer — VP & Chief Human Capital Off.
Period of report
Feb 20, 2018
Accepted (ET)
Feb 21, 2018 · 6:58 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 20, 2018 | A | 9,977 | $0.00 | A | 41,968 | D | |
| Common StockF2,F3 | Feb 20, 2018 | F | 671 | $2.39 | D | 41,297 | D | |
| Common Stock | holding | — | — | — | 1,493 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 9,977 restricted stock units that vest 3,325 shares on 2/20/19 and 3,326 shares on each of 2/20/20 and 2/20/21.
- F2The 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.
- F3Includes (i) 11,022 restricted stock units that vest 5,511 shares on each of 2/22/18 and 2/22/19; (ii) 6,780 restricted stock units that vest 2,260 shares on each of 2/21/18, 2/21/19 and 2/21/20; and (iii) 9,977 restricted stock units that vest 3,325 shares on 2/20/19 and 3,326 shares on each of 2/20/20 and 2/20/21.