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4//SEC Filing

Rubin Jonathan David 4

Accession 0000914190-12-000197

CIK 0001120370other
View on SEC.govCompany Profile

Filed

Mar 8, 7:00 PM ET

Accepted

Mar 9, 5:22 PM ET

Size

13.5 KB

Accession

0000914190-12-000197

Insider Transaction Report

Form 4
Period: 2012-03-07
BROADWIND ENERGY, INC.BWEN
Rubin Jonathan David
General Counsel
Transactions
  • Tax Payment

    Common Stock

    2012-03-07$0.67/sh−4,878$3,268→ 113,424 total
  • Tax Payment

    Common Stock

    2012-03-09$0.68/sh−1,145$784→ 112,279 total
Holdings

  • Common Stock

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

  • Stock Option (Right to Buy)

    Exercise: $5.44Exp: 2020-03-09→ Common Stock (24,095 underlying)
    24,095

  • Stock Option (Right to Buy)

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

  • Stock Option (Right to Buy)

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

  • Stock Option (Right to Buy)

    Exercise: $18.20Exp: 2018-07-02→ Common Stock (75,000 underlying)
    75,000
Footnotes (6)
  • [F1]The reporting person has elected to satisfy his tax withholding obligation in connection with the restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the grant.
  • [F2]Includes (i) 10,000 shares of restricted stock units that vest in 5,000 share increments on each of 10/17/12 and 10/17/13; (ii) 4,490 shares of restricted stock units that vest in 2,245 share increments on each of 4/29/12 and 4/29/13; (iii) 6,422 shares of restricted stock units that vest 3,211 share increments on each 3/9/13 and 3/9/14; and (iv) 41,594 shares of restricted stock units that vest 13,865 shares on 3/7/13, 13,864 shares on 3/7/14 and 13,865 shares on 3/7/15.
  • [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, 5:22 PM ET
Size
13.5 KB
View on SEC.gov