SEC Form 4 · accession 0001535264-15-000109
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
Dec 14, 2015
Accepted (ET)
Dec 16, 2015 · 3:18 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 Stock | Dec 14, 2015 | S | 225,000 | $2.1004 | D | 1,832,471 | I | By Limited Partnerships |
| Common StockF2,F3,F1 | Dec 15, 2015 | S | 200,991 | $2.10 | D | 1,631,480 | 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. 858,730 shares of Common Stock of the Issuer (the Shares) held by QP, 285,652 Shares held by CAYMAN, 68,486 Shares held by TECH and 418,612 Shares held by TECH II.
- F3Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose