SEC Form 4 · accession 0001535264-15-000002
BROADWIND, INC. · BWEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
AWM Investment Company, Inc.
10% Owner
Period of report
Jan 21, 2015
Accepted (ET)
Jan 23, 2015 · 4:27 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 | Jan 21, 2015 | S | 1,000 | $5.0003 | D | 1,925,572 | I | By Limited Partnerships |
| Common StockF1,F2 | Jan 21, 2015 | S | 13,998 | $5.002 | D | 1,911,574 | I | By Limited Partnerships |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This is a weighted average price.
- F2AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Technology Fund, L.P. (TECH) and Special Situations Technology Fund II, L.P. (TECH II and together with QP, CAYMAN, SSPE and TECH, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over. 1,005,887 shares of Common Stock of the Issuer (the Shares) held by QP, 335,270 Shares held by CAYMAN, 79,837 Shares held by TECH and 490,580 Shares held by TECH II. Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. Marxe, Greenhouse and Stettner previously reported the Shares held by the Funds on Form 3 and Form 4.