0001044321-14-000073.txt : 20140402
0001044321-14-000073.hdr.sgml : 20140402
20140402164829
ACCESSION NUMBER: 0001044321-14-000073
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140331
FILED AS OF DATE: 20140402
DATE AS OF CHANGE: 20140402
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: BROADWIND ENERGY, INC.
CENTRAL INDEX KEY: 0001120370
STANDARD INDUSTRIAL CLASSIFICATION: NONFERROUS FOUNDRIES (CASTINGS) [3360]
IRS NUMBER: 880409160
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3240 S. CENTRAL AVENUE
CITY: CICERO
STATE: IL
ZIP: 60804
BUSINESS PHONE: 708-780-4800
MAIL ADDRESS:
STREET 1: 3240 S. CENTRAL AVENUE
CITY: CICERO
STATE: IL
ZIP: 60804
FORMER COMPANY:
FORMER CONFORMED NAME: TOWER TECH HOLDINGS INC.
DATE OF NAME CHANGE: 20060210
FORMER COMPANY:
FORMER CONFORMED NAME: BLACKFOOT ENTERPRISES INC
DATE OF NAME CHANGE: 20000726
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MARXE AUSTIN W & GREENHOUSE DAVID M
CENTRAL INDEX KEY: 0001044321
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34278
FILM NUMBER: 14738792
BUSINESS ADDRESS:
STREET 1: C/O SPECIAL SITUATIONS FUNDS
STREET 2: 527 MADISON AVENUE, SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 2123196670
MAIL ADDRESS:
STREET 1: C/O SPECIAL SITUATIONS FUNDS
STREET 2: 527 MADISON AVENUE, SUITE 2600
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2014-03-31
0
0001120370
BROADWIND ENERGY, INC.
BWEN
0001044321
MARXE AUSTIN W & GREENHOUSE DAVID M
C/O SPECIAL SITUATIONS FUNDS
527 MADISON AVENUE, SUITE 2600
NEW YORK
NY
10022
0
0
1
0
Common Stock
2014-03-31
4
S
0
25000
12.0972
D
2190943
I
By Limited Partnerships
Common Stock
2014-04-01
4
S
0
30551
12.5228
D
2160392
I
By Limited Partnerships
Common Stock
2014-04-02
4
S
0
48201
13.6129
D
2112191
I
By Limited Partnerships
This is a weighted average price.
This is a joint filing by Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (Cayman), Special Situations Technology Fund, L.P. (Tech) and Special Situations Technology Fund II, L.P. (Tech 2). 1,111,453 shares of Common Stock are held by QP, 370,457 shares of Common Stock are held by Cayman, 88,216 shares of Common Stock are held by Tech and 542,065 shares of Common Stock are held by Tech 2. The interest of Marxe, Greenhouse and Stettner in the shares of Common Stock owned by QP, Cayman, Tech and Tech 2 is limited to the extent of his pecuniary interest.
Austin W. Marxe
2014-04-02
David M. Greenhouse
2014-04-02
Adam C. Stettner
2014-04-02