SEC Form 4 · accession 0001104659-19-010125
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jason Lee Bonfigt
Officer — VP, CFO and Treasurer
Period of report
Feb 20, 2019
Accepted (ET)
Feb 22, 2019 · 5:08 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, 2019 | F | 1,860 | $1.41 | D | 40,664 | D | |
| Common StockF1,F2 | Feb 21, 2019 | F | 618 | $1.44 | D | 40,046 | D | |
| Common Stock | holding | — | — | — | 7,871 | 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) 3,234 restricted stock units that vest on 7/25/19; (ii) 1,785 restricted stock units that vest on 2/21/20; and (iii) 10,750 restricted stock units that vest 5,375 shares on each of 2/20/20 and 2/20/21.