BROADWIND ENERGY, INC. 4
4 · BROADWIND ENERGY, INC. · Filed Jun 15, 2016
Insider Transaction Report
Form 4
ROGOWSKI ROBERT R
Principal Accounting Officer
Transactions
- Sale
Common Stock
2016-06-14$4.35/sh−6,000$26,100→ 33,813 total
Holdings
- 3,863(indirect: By 401(k))
Common Stock
- 1,750
Stock Option (Right to Buy)
Exercise: $15.00Exp: 2021-05-05→ Common Stock (1,750 underlying) - 5,647
Stock Option (Right to Buy)
Exercise: $3.39Exp: 2022-05-04→ Common Stock (5,647 underlying)
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 $4.34 to $4.37, inclusive. The reporting person undertakes to provide to 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 (1) to this Form 4.
- [F2]Includes (i) 1,154 restricted stock units that vest on 2/20/17; (ii) 3,521 restricted stock units that vest 1,760 shares on 2/19/17 and 1,761 shares on 2/19/18; and (iii) 15,838 restricted stock units that vest in increments of 5,279 shares on each of 2/22/17 and 2/22/18 and 5,280 shares on 2/22/19.
- [F3]437 shares vested on each of 5/5/12 and 5/5/14, and 438 shares vested on each of 5/5/13 and 5/5/15.
- [F4]1,411 shares vested on 5/4/13, 1,412 shares vested on each of 5/4/14 and 5/4/15, and 1,412 shares vested on 5/4/16.