4//SEC Filing
BROADWIND ENERGY, INC. 4
Accession 0001104659-13-075780
$BWENCIK 0001120370operating
Filed
Oct 14, 8:00 PM ET
Accepted
Oct 15, 9:32 PM ET
Size
21.9 KB
Accession
0001104659-13-075780
Insider Transaction Report
Form 4
TONTINE ASSET ASSOCIATES, L.L.C.
10% Owner
Transactions
- Sale
Common Stock, $0.001 par value per share
2013-10-11$9.23/sh−45,000$415,350→ 1,446,201 total(indirect: See Footnotes)
TONTINE MANAGEMENT LLC
10% Owner
Transactions
- Sale
Common Stock, $0.001 par value per share
2013-10-11$9.23/sh−45,000$415,350→ 1,446,201 total(indirect: See Footnotes)
Transactions
- Sale
Common Stock, $0.001 par value per share
2013-10-11$9.23/sh−45,000$415,350→ 1,446,201 total(indirect: See Footnotes)
GENDELL JEFFREY L ET AL
10% Owner
Transactions
- Sale
Common Stock, $0.001 par value per share
2013-10-11$9.23/sh−45,000$415,350→ 1,446,201 total(indirect: See Footnotes)
Tontine Associates, LLC
10% Owner
Transactions
- Sale
Common Stock, $0.001 par value per share
2013-10-11$9.23/sh−45,000$415,350→ 1,446,201 total(indirect: See Footnotes)
TONTINE CAPITAL MANAGEMENT LLC
10% Owner
Transactions
- Sale
Common Stock, $0.001 par value per share
2013-10-11$9.23/sh−45,000$415,350→ 1,446,201 total(indirect: See Footnotes)
Tontine Capital Overseas GP, LLC
10% Owner
Transactions
- Sale
Common Stock, $0.001 par value per share
2013-10-11$9.23/sh−45,000$415,350→ 1,446,201 total(indirect: See Footnotes)
TONTINE OVERSEAS ASSOCIATES LLC
10% Owner
Transactions
- Sale
Common Stock, $0.001 par value per share
2013-10-11$9.23/sh−45,000$415,350→ 1,446,201 total(indirect: See Footnotes)
TONTINE POWER PARTNERS LP
10% Owner
Transactions
- Sale
Common Stock, $0.001 par value per share
2013-10-11$9.23/sh−45,000$415,350→ 1,446,201 total(indirect: See Footnotes)
Footnotes (8)
- [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 11, 2013, TCP 2 sold 45,000 shares of Common Stock at a weighted average price of $9.23 per share. These shares were sold in multiple transactions at prices ranging from $9.19 to $9.35, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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.
- [F4]Mr. Gendell and TAA directly own 0 shares of Common Stock, TCM directly owns 58,315 shares of Common Stock, TCO directly owns 1,696 shares of Common Stock, TM directly owns 96,795 shares of Common Stock, TOA directly owns 151,748 shares of Common Stock, TCP 2 directly owns 1,046,170 shares of Common Stock, TPP directly owns 5,731 shares of Common Stock and TA directly owns 85,746 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 TCP 2 may be deemed to be 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.
- [F8]TA 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 TA.
Documents
Issuer
BROADWIND ENERGY, INC.
CIK 0001120370
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001120370
Filing Metadata
- Form type
- 4
- Filed
- Oct 14, 8:00 PM ET
- Accepted
- Oct 15, 9:32 PM ET
- Size
- 21.9 KB