0000914190-12-000385.txt : 20120606
0000914190-12-000385.hdr.sgml : 20120606
20120606162703
ACCESSION NUMBER: 0000914190-12-000385
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120604
FILED AS OF DATE: 20120606
DATE AS OF CHANGE: 20120606
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KUSHNER STEPHANIE K
CENTRAL INDEX KEY: 0001232935
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34278
FILM NUMBER: 12892333
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: 47 E. CHICAGO AVENUE
STREET 2: SUITE 332
CITY: NAPERVILLE
STATE: IL
ZIP: 60540
BUSINESS PHONE: 630-637-0315
MAIL ADDRESS:
STREET 1: 47 E. CHICAGO AVENUE
STREET 2: SUITE 332
CITY: NAPERVILLE
STATE: IL
ZIP: 60540
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
4
1
edgar.xml
PRIMARY DOCUMENT
X0305
4
2012-06-04
0001120370
BROADWIND ENERGY, INC.
BWEN
0001232935
KUSHNER STEPHANIE K
47 EAST CHICAGO AVENUE
SUITE 332
NAPERVILLE
IL
60540
0
1
0
0
Exec. VP and CFO
Common Stock
2012-06-04
4
P
0
100000
.2641
A
727879
D
Common Stock
8110
I
By 401(k) Plan
Stock Option (Right to Buy)
9.99
2019-07-29
Common Stock
25000
25000
D
Stock Option (Right to Buy)
5.44
2020-03-09
Common Stock
53233
53233
D
Stock Option (Right to Buy)
1.35
2021-03-07
Common Stock
149107
149107
D
Stock Option (Right to Buy)
.34
2012-05-04
4
A
0
341296
0
A
2022-05-04
Common Stock
341296
341296
D
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.26 to $0.27 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.
Includes (i) 12,500 shares of restricted stock units that vest in 6,250 share increments on each of 7/29/12 and 7/29/13; (ii) 7,094 shares of restricted stock units that vest on 3/9/13 and 3/9/14; and (iii) 88,205 shares of restricted stock units that vest 29,402 shares on 3/7/13, 29,401 shares on 3/7/14 and 29,402 shares on 3/7/15 and (iv) 341,296 shares of restricted stock units that vest 85,324 shares on each of 5/4/13, 5/4/14, 5/4/15 and 5/4/16.
6,250 shares vest on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.
13,309 shares vest on 3/9/11 and 13,308 shares vest on each of 3/9/12, 3/9/13 and 3/9/14.
37,276 shares vest on 3/7/12 and 37,277 shares vest on 3/7/13, 3/7/14 and 3/7/15.
85,324 shares vest on 5/4/13, 5/4/14, 5/4/15 and 5/4/16.
/s/ Stephanie Kushner
2012-06-06