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4//SEC Filing

Rubin Jonathan David 4

Accession 0000914190-11-000163

CIK 0001120370other
View on SEC.govCompany Profile

Filed

Mar 8, 7:00 PM ET

Accepted

Mar 9, 7:00 PM ET

Size

12.9 KB

Accession

0000914190-11-000163

Insider Transaction Report

Form 4
Period: 2011-03-07
BROADWIND ENERGY, INC.BWEN
Rubin Jonathan David
General Counsel
Transactions
  • Award

    Common Stock

    2011-03-07+55,458→ 118,302 total
  • Award

    Stock Option (Right to Buy)

    2011-03-07+70,313→ 70,313 total
    Exercise: $1.35Exp: 2021-03-07→ Common Stock (70,313 underlying)
Holdings

  • Common Stock

    (indirect: By 401(k))
    4,706

  • Stock Option (Right to Buy)

    Exercise: $7.78Exp: 2019-04-29→ Common Stock (18,719 underlying)
    18,719

  • Stock Option (Right to Buy)

    Exercise: $18.20Exp: 2018-07-02→ Common Stock (75,000 underlying)
    75,000

  • Stock Option (Right to Buy)

    Exercise: $5.44Exp: 2020-03-09→ Common Stock (24,095 underlying)
    24,095
Footnotes (6)
  • [F1]Includes (i) 15,000 shares of restricted stock units that vest in 5,000 share increments on each of 10/17/11, 10/17/12 and 10/17/13; (ii) 6,735 shares of restricted stock units that vest in 2,245 share increments on each of 4/29/11, 4/29/12 and 4/29/13; (iii) 12,845 shares of restricted stock units that vest 3,212 shares on 3/9/11 and in 3,211 share increments on each of 3/9/12, 3/9/13 and 3/9/14; and (iv) 55,458 shares of restricted stock units that vest 13,864 shares on 3/7/12, 13,865 shares on 3/7/13, 13,864 shares on 3/7/14 and 13,865 shares on 3/7/15.
  • [F2]Between December 2009 and March 4, 2011, the reporting person acquired 4,706 shares of Company common stock under the Company's 401(k) plan. 103 of these shares were previously reported as a direct holding on the reporting persons's 3/10/10 filing, but are now being broken out and reported as an indirect holding.
  • [F3]15,000 shares vest on each of 7/2/09, 7/2/10, 7/2/11, 7/2/12 and 7/2/13.
  • [F4]4,680 shares vest on each of 4/29/10, 4/29/11 and 4/29/12, and 4,679 shares vest on 4/29/13.
  • [F5]6,024 shares vest on each of 3/9/11, 3/9/12 and 3/9/13; 6,023 shares vest on 3/9/14.
  • [F6]17,578 shares vest on 3/7/12, 3/7/13 and 3/7/14 and 17,579 shares vest on 3/7/15.

Documents

1 file

Issuer

BROADWIND ENERGY, INC.

CIK 0001120370

→
Entity typeother

Related Parties

1
  • filerCIK 0001438892

Filing Metadata

Form type
4
Filed
Mar 8, 7:00 PM ET
Accepted
Mar 9, 7:00 PM ET
Size
12.9 KB
View on SEC.gov