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