4//SEC Filing
BROADWIND ENERGY, INC. 4
Accession 0000914190-14-000423
$BWENCIK 0001120370operating
Filed
Nov 2, 7:00 PM ET
Accepted
Nov 3, 4:42 PM ET
Size
9.4 KB
Accession
0000914190-14-000423
Insider Transaction Report
Form 4
Duprey Peter C.
DirectorPresident and CEO
Transactions
- Purchase
Common Stock
2014-10-31$6.57/sh+10,000$65,700→ 273,204 total
Holdings
- 58,083
Stock Option (Right to Buy)
Exercise: $3.40Exp: 2022-05-04→ Common Stock (58,083 underlying) - 5,520(indirect: By 401(k))
Common Stock
- 22,000
Stock Option (Right to Buy)
Exercise: $17.70Exp: 2020-11-15→ Common Stock (22,000 underlying)
Footnotes (5)
- [F1]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.51 to $6.609 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 purchased at each separate price within the range set forth in this footnote.
- [F2]Includes (i) 4,500 restricted stock units that vest on 11/15/14; (ii) 43,563 restricted stock units that vest in 29,042 share increments on each of 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.
- [F3]Reflects the number of shares currently held in the reporting person's 401(k) plan account based on a plan statement dated November 3, 2014.
- [F4]5,500 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.
- [F5]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.
Documents
Issuer
BROADWIND ENERGY, INC.
CIK 0001120370
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001120370
Filing Metadata
- Form type
- 4
- Filed
- Nov 2, 7:00 PM ET
- Accepted
- Nov 3, 4:42 PM ET
- Size
- 9.4 KB