4//SEC Filing
Rubin Jonathan David 4
Accession 0000914190-13-000073
CIK 0001120370other
Filed
Jan 21, 7:00 PM ET
Accepted
Jan 22, 5:28 PM ET
Size
17.8 KB
Accession
0000914190-13-000073
Insider Transaction Report
Form 4
Rubin Jonathan David
General Counsel
Transactions
- Tax Payment
Common Stock
2013-01-18$2.58/sh−8,152$21,032→ 19,200 total
Holdings
- 1,871
Stock Option (Right to Buy)
Exercise: $77.80Exp: 2019-04-29→ Common Stock (1,871 underlying) - 2,627(indirect: By 401(k))
Common Stock
- 16,124
Stock Option (Right to Buy)
Exercise: $3.40Exp: 2022-05-04→ Common Stock (16,124 underlying) - 7,500
Stock Option (Right to Buy)
Exercise: $182.00Exp: 2018-07-02→ Common Stock (7,500 underlying) - 7,031
Stock Option (Right to Buy)
Exercise: $13.50Exp: 2021-03-07→ Common Stock (7,031 underlying) - 2,409
Stock Option (Right to Buy)
Exercise: $54.40Exp: 2020-03-09→ Common Stock (2,409 underlying)
Footnotes (9)
- [F1]The reporting person has elected to satisfy his tax withholding obligation in connection with the vesting of the restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the grant.
- [F2]On 8/22/12, the Company completed a one-for-ten reverse stock split. All common stock amounts and exercise prices in the filing relating to securities acquired prior to 8/22/12 have been adjusted to reflect the one-for-ten reverse stock split.
- [F3]On January 18, 2013, the Reporting Person and the Issuer entered into that certain Separation Agreement (the "Separation Agreement"), pursuant to which, effective January 18, 2013, the Reporting Person's service as an officer of and employment with the Issuer was terminated. The Separation Agreement provides, among other things, for the accelerated vesting of 21,651 restricted stock units previously granted to the Reporting Person by the Issuer.
- [F4]This amount represents the total number of shares of Issuer common stock held in Reporting Person's 401(k) Plan as of January 18, 2013.
- [F5]This option was previously reported as covering 75,000 shares at an exercise price of $18.20 but was adjusted to reflect the stock split that occurred on 8/22/12. 1,875 shares vest on each of 4/29/10, 4/29/11, 4/29/12 and 4/29/13.
- [F6]This option was previously reported as covering 18,719 shares at an exercise price of $7.78 but was adjusted to reflect the stock split that occurred on 8/22/12. 467 shares vest on 4/29/10 and 468 shares vest on 4/29/11, 4/29/12 and 4/29/13.
- [F7]This option was previously reported as covering 24,095 shares at an exercise price of $5.44 but was adjusted to reflect the stock split that occurred on 8/22/12. 602 shares vest on 3/9/11, 3/9/12 and 3/9/13 and 603 shares vest on 3/9/14.
- [F8]This option was previously reported as covering 70,313 shares at an exercise price of $1.35 but was adjusted to reflect the stock split that occurred on 8/22/12. 1,757 shares vest on 3/7/12 and 1,758 shares vest on 3/7/13, 3/7/14 and 3/7/15.
- [F9]This option was previously reported as covering 161,243 shares at an exercise price of $.34 but was adjusted to reflect the stock split that occurred on 8/22/12. 4,031 shares vest on 5/4/13, 5/4/14, 5/4/15 and 5/4/16.
Issuer
BROADWIND ENERGY, INC.
CIK 0001120370
Entity typeother
Related Parties
1- filerCIK 0001438892
Filing Metadata
- Form type
- 4
- Filed
- Jan 21, 7:00 PM ET
- Accepted
- Jan 22, 5:28 PM ET
- Size
- 17.8 KB