4//SEC Filing
BROADWIND ENERGY, INC. 4
Accession 0000914190-13-000857
$BWENCIK 0001120370operating
Filed
Dec 10, 7:00 PM ET
Accepted
Dec 11, 3:18 PM ET
Size
12.8 KB
Accession
0000914190-13-000857
Insider Transaction Report
Form 4
Duprey Peter C.
DirectorPresident and CEO
Transactions
- Purchase
Common Stock
2013-12-11$5.32/sh+5,000$26,605→ 237,733 total - Purchase
Common Stock
2013-12-11$5.33/sh+5,000$26,669→ 242,733 total
Holdings
- 6,337.576(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]Includes 4,500 restricted stock units that vest on 11/15/14; (ii)) 43,563 restricted stock units that vest 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.
Issuer
BROADWIND ENERGY, INC.
CIK 0001120370
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001120370
Filing Metadata
- Form type
- 4
- Filed
- Dec 10, 7:00 PM ET
- Accepted
- Dec 11, 3:18 PM ET
- Size
- 12.8 KB