SEC Form 4 · accession 0001104659-18-011736
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel E. Schueller
Officer — Pres., Brad Foote Gear Works
Period of report
Feb 21, 2018
Accepted (ET)
Feb 23, 2018 · 4:51 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,F2 | Feb 21, 2018 | F | 654 | $2.31 | D | 25,294 | D | |
| Common Stock | holding | — | — | — | 1,358 | 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 prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.
- F2Includes (i) 7,600 restricted stock units that vest 3,800 shares on each of 7/25/18 and 7/25/19; (ii) 3,780 restricted stock units that vest 1,890 shares on each of 2/21/19 and 2/21/20; and (iii) 9,072 restricted stock units that vest 3,024 shares on each of 2/20/19, 2/20/20 and 2/20/21.