BROADWIND ENERGY, INC. 4

4 · BROADWIND ENERGY, INC. · Filed Mar 17, 2014

Form 4

Period: 2014-03-13

Principal Accounting Officer

Transactions

Holdings

Common Stock
(indirect: By 401(k))
3,863
Stock Option (Right to Buy)
Exercise: $15.00Exp: 2021-05-05→ Common Stock (1,750 underlying)
1,750
Stock Option (Right to Buy)
Exercise: $3.39Exp: 2022-05-04→ Common Stock (5,647 underlying)
5,647

Footnotes (4)

[F1]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.70 to $9.72 inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc. or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
[F2]Includes (i) 875 shares of restricted stock units that vest 437 shares on 5/4/14 and 438 shares on 5/5/15; (ii) 4,236 shares of restricted stock units that vest in 1,412 share increments on each of 5/4/14, 5/4/15 and 5/4/16; (iii) 3,462 shares of restricted stock units that vest in 1,154 shares increments on each of 2/20/15, 2/20/16 and 2/20/17; and (iv) 6,271 shares of restricted stock units that vest 3,135 shares on 2/21/15 and 3,136 shares on 2/21/16.
[F3]437 shares vest on each of 5/5/12 and 5/5/14 and 438 shares vest on each of 5/5/13 and 5/5/15.
[F4]1,411 shares vest on 5/4/13 and 1,412 shares vest on each of 5/4/14, 5/4/15 and 5/4/16.

Documents

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