SEC Form 4 · accession 0001104659-18-047030
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
Jul 23, 2018
Accepted (ET)
Jul 25, 2018 · 6:57 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 23, 2018 | F | 637 | $2.45 | D | 20,448 | D | |
| Common Stock | holding | — | — | — | 1,725 | 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 a prior restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grant.
- F2Includes (i) 2,880 restricted stock units that vest 1,440 shares on each of 2/21/19 and 2/21/20; (ii) 2,267 restricted stock units that vest 1,133 shares on 7/25/18 and 1,134 shares on 7/25/19; and (iii) 9,000 restricted stock units that vest 3,000 shares on each of 2/20/19, 2/20/20 and 2/20/21.