Duprey Peter C. 4
4 · BROADWIND ENERGY, INC. · Filed Feb 25, 2013
Insider Transaction Report
Form 4
Duprey Peter C.
DirectorPresident and CEO
Transactions
- Award
Common Stock
2013-02-21+97,500→ 193,583 total - Award
Common Stock
2013-02-21+39,150→ 232,733 total
Holdings
- 3,284(indirect: By 401(k))
Common Stock
- 22,000
Stock Option (Right to Buy)
Exercise: $17.70Exp: 2020-11-15→ Common Stock (22,000 underlying) - 58,083
Stock Option (Right to Buy)
Exercise: $3.40Exp: 2022-05-04→ Common Stock (58,083 underlying)
Footnotes (4)
- [F1]Represents 9,000 of restricted stock units that vest in 4,500 share increments on each of 11/15/13 and 11/15/14; (ii) 58,083 restricted stock units that vest in 14,520 share increments on 5/4/13 and in 14,521 share increments on each of 5/4/14, 5/4/15 and 5/4/16; and (iii) 97,500 restricted stock units that vest in 32,500 share increments on each of 2/21/14, 2/21/15 and 2/21/16.
- [F2]Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated February 22, 2013.
- [F3]5,500 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.
- [F4]14,520 shares vest on 5/4/13 and 14,521 shares vest on each of 5/4/14, 5/4/15 and 5/4/16.