Rubin Jonathan David 4
4 · BROADWIND ENERGY, INC. · Filed Mar 9, 2012
Insider Transaction Report
Form 4
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
- 4,706(indirect: By 401(k))
Common Stock
- 24,095
Stock Option (Right to Buy)
Exercise: $5.44Exp: 2020-03-09→ Common Stock (24,095 underlying) - 18,719
Stock Option (Right to Buy)
Exercise: $7.78Exp: 2019-04-29→ Common Stock (18,719 underlying) - 70,313
Stock Option (Right to Buy)
Exercise: $1.35Exp: 2021-03-07→ Common Stock (70,313 underlying) - 75,000
Stock Option (Right to Buy)
Exercise: $18.20Exp: 2018-07-02→ Common Stock (75,000 underlying)
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.