Rubin Jonathan David 4

4 · BROADWIND ENERGY, INC. · Filed May 8, 2012

Form 4

Period: 2012-05-04

General Counsel

Transactions

Award
Common Stock
2012-05-04$0.34/sh+161,243$54,823→ 273,522 total
Award
Stock Option (Right to Buy)
2012-05-04+161,243→ 161,243 total
Exercise: $0.34Exp: 2022-05-04→ Common Stock (161,243 underlying)

Holdings

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
Common Stock
(indirect: By 401(k))
4,706
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) 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) 2,245 shares of restricted stock units that vest 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; (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; and (v) 161,243 shares of restricted stock units that vest 40,310 shares on 5/4/13 and 40,311 shares on 5/4/14, 5/4/15 and 5/4/16.
[F2]15,000 shares vest on each of 7/2/09, 7/2/10, 7/2/11, 7/2/12 and 7/2/13.
[F3]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.
[F4]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.
[F5]17,578 shares vest on 3/7/12, 3/7/13 and 3/7/14 and 17,579 shares vest on 3/7/15.
[F6]40,310 shares vest on 5/4/13 and 40,311 shares vest on 5/4/14, 5/4/15 and 5/4/16.

Documents

1 file