-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, K0WlBKS3rkAzSCuo2cOgL3PzL8yYv5bxVuK+Dsy19i9U7ApHG2gr5EfzRzWsOSdZ ECNdjyJ94kNhdIGjyljF6A== 0000914190-09-000709.txt : 20091020 0000914190-09-000709.hdr.sgml : 20091020 20091020180204 ACCESSION NUMBER: 0000914190-09-000709 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091017 FILED AS OF DATE: 20091020 DATE AS OF CHANGE: 20091020 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rubin Jonathan David CENTRAL INDEX KEY: 0001438892 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 091128781 MAIL ADDRESS: STREET 1: 4140 NORTH BELL STREET CITY: CHICAGO STATE: IL ZIP: 60618 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-10-17 0001120370 BROADWIND ENERGY, INC. BWEN 0001438892 Rubin Jonathan David 47 EAST CHICAGO AVENUE SUITE 332 NAPERVILLE IL 60540 0 1 0 0 VP and General Counsel Common Stock 2009-10-17 4 F 0 1400 7.29 D 49999 D Stock Option (Right to Buy) 18.20 2018-07-02 Common Stock 75000 75000 D Stock Option (Right to Buy) 7.78 2009-04-29 Common Stock 18719 18719 D Includes 20,000 shares of restricted stock units that vest in 5,000 share increments on each of 10/17/10, 10/17/11, 10/17/12 and 10/17/13; and also includes 8,980 shares of restricted stock units that vest in 2,245 share increments on each of 4/29/10, 4/29/11, 4/29/12 and 4/29/13. 15,000 shares vest on each of 7/2/09, 7/2/10, 7/2/11, 7/2/12 and 7/2/13. 4,680 shares vest on each of 4/29/10, 4/29/11 and 4/29/12, and 4,679 shares vest on 4/29/13. Jonathan D. Rubin 2009-10-20 -----END PRIVACY-ENHANCED MESSAGE-----