BROADWIND ENERGY, INC. 4
4 · BROADWIND ENERGY, INC. · Filed Feb 25, 2014
Insider Transaction Report
Form 4
Duprey Peter C.
DirectorPresident and CEO
Transactions
- Tax Payment
Common Stock
2014-02-21$8.60/sh−10,722$92,209→ 232,011 total
Holdings
- 6,678(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) 65,000 restricted stock units that vest in 32,500 share increments on each of 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 24, 2014.
- [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.