4//SEC Filing
TONTINE CAPITAL MANAGEMENT LLC 4
Accession 0001104659-11-055105
CIK 0001120370other
Filed
Oct 4, 8:00 PM ET
Accepted
Oct 5, 9:30 PM ET
Size
21.4 KB
Accession
0001104659-11-055105
Insider Transaction Report
Form 4
Tontine Capital Overseas GP, LLC
10% Owner
Transactions
- Other
Common Stock, $0.001 par value per share
2011-10-03−562,140→ 18,763,170 total(indirect: See Footnotes)
TONTINE MANAGEMENT LLC
10% Owner
Transactions
- Other
Common Stock, $0.001 par value per share
2011-10-03−562,140→ 18,763,170 total(indirect: See Footnotes)
Transactions
- Other
Common Stock, $0.001 par value per share
2011-10-03−562,140→ 18,763,170 total(indirect: See Footnotes)
TONTINE ASSET ASSOCIATES, L.L.C.
10% Owner
Transactions
- Other
Common Stock, $0.001 par value per share
2011-10-03−562,140→ 18,763,170 total(indirect: See Footnotes)
TONTINE POWER PARTNERS LP
10% Owner
Transactions
- Other
Common Stock, $0.001 par value per share
2011-10-03−562,140→ 18,763,170 total(indirect: See Footnotes)
Tontine Associates, LLC
10% Owner
Transactions
- Other
Common Stock, $0.001 par value per share
2011-10-03−562,140→ 18,763,170 total(indirect: See Footnotes)
GENDELL JEFFREY L ET AL
10% Owner
Transactions
- Other
Common Stock, $0.001 par value per share
2011-10-03−562,140→ 18,763,170 total(indirect: See Footnotes)
TONTINE CAPITAL MANAGEMENT LLC
10% Owner
Transactions
- Other
Common Stock, $0.001 par value per share
2011-10-03−562,140→ 18,763,170 total(indirect: See Footnotes)
TONTINE OVERSEAS ASSOCIATES LLC
10% Owner
Transactions
- Other
Common Stock, $0.001 par value per share
2011-10-03−562,140→ 18,763,170 total(indirect: See Footnotes)
Footnotes (7)
- [F1]This report is filed jointly by Tontine Capital Management, L.L.C., a Delaware limited liability company ("TCM"), Tontine Capital Overseas GP, L.L.C., a Delaware limited liability company ("TCO"), Tontine Management, L.L.C., a Delaware limited liability company ("TM"), Tontine Overseas Associates, L.L.C., a Delaware limited liability company ("TOA"), Tontine Capital Overseas Master Fund II, L.P., a Cayman Islands limited partnership ("TCP 2"), Tontine Asset Associates, L.L.C., a Delaware limited liability company ("TAA"), Tontine Power Partners, L.P., a Delaware limited partnership ("TPP"), Tontine Associates, L.L.C., a Delaware limited liability company ("TA") and Jeffrey L. Gendell ("Mr. Gendell").
- [F2]Mr. Gendell is the managing member of: (a) TCM; (b) TCO; (c) TM, the general partner of TPP; (d) TOA; (e) TAA, the general partner of TCP 2; and (f) TA.
- [F3]On October 3, 2011, TCP 2 distributed 562,140 shares of Common Stock to investors that are not directly or indirectly controlled by Mr. Gendell.
- [F4]Mr. Gendell and TAA directly own 0 shares of Common Stock, TCM directly owns 583,150 shares of Common Stock, TCO directly owns 16,976 shares of Common Stock, TM directly owns 967,951 shares of Common Stock, TOA directly owns 1,517,487 shares of Common Stock, TCP 2 directly owns 14,762,824 shares of Common Stock, TPP directly owns 57,319 shares of Common Stock and TA directly owns 857,463 shares of Common Stock.
- [F5]All of the foregoing securities may be deemed to be beneficially owned by Mr. Gendell. The foregoing securities held by, and distributed by, TCP 2 may be deemed to be, or have been, beneficially owned by TAA. The foregoing securities held by TPP may be deemed to be beneficially owned by TM.
- [F6]Mr. Gendell disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by Mr. Gendell or representing Mr. Gendell's pro rata interest in, and interest in the profits of, TCM, TCO, TM, TOA, TPP, TA, TCP 2 and TAA. TCM disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TCM. TCO disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TCO.
- [F7]TM disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TM or representing TM's pro rata interest in, and interest in the profits of, TPP. TOA disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TOA. TAA disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TAA or representing TAA's pro rata interest in, and interest in the profits of, TCP 2.
Documents
Issuer
BROADWIND ENERGY, INC.
CIK 0001120370
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001272374
Filing Metadata
- Form type
- 4
- Filed
- Oct 4, 8:00 PM ET
- Accepted
- Oct 5, 9:30 PM ET
- Size
- 21.4 KB