SEC Form 4 · accession 0001104659-18-011739
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gilbert W. Mayo Jr.
Officer — Pres., Process Systems
Period of report
Feb 21, 2018
Accepted (ET)
Feb 23, 2018 · 4:59 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 | 427 | $2.31 | D | 21,085 | 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 prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.
- F2Includes (i) 2,880 restricted stock units that vest 1,440 shares on each of 2/21/19 and 2/21/20; (ii) 2,200 restricted stock units that vest on 7/22/18; (iii) 2,267 restricted stock units that vest 1,133 shares on 7/25/18 and 1,134 shares on 7/25/19; and (iv) 9,000 restricted stock units that vest 3,000 shares on each of 2/20/19, 2/20/20 and 2/20/21.