-----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, WrSTssknk7YN1ItpuyCUlf8NyrNvu4862Rn8W71Lju4N7tJKYIkvaBVhKe2MEUSv 9EYIRk+VLu1jn7o7w1/YWg== 0000914190-10-000184.txt : 20100311 0000914190-10-000184.hdr.sgml : 20100311 20100311173506 ACCESSION NUMBER: 0000914190-10-000184 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100309 FILED AS OF DATE: 20100311 DATE AS OF CHANGE: 20100311 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Moller Lars CENTRAL INDEX KEY: 0001415900 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 10675048 MAIL ADDRESS: STREET 1: 1012 40TH AVENUE NORTH CITY: MOORHEAD STATE: MN ZIP: 56560 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 X0303 4 2010-03-09 0001120370 BROADWIND ENERGY, INC. BWEN 0001415900 Moller Lars 47 E. CHICAGO AVENUE SUITE 332 NAPERVILLE IL 60540 0 1 0 0 President-Technology and Int'l Common Stock 2010-03-09 4 A 0 30561 5.44 A 91587 D Stock Option (Right to Buy) 8.10 2017-10-22 Common Stock 500000 500000 D Stock Option (Right to Buy) 7.78 2019-04-29 Common Stock 41356 41356 D Stock Option (Right to Buy) 5.44 2010-03-09 4 A 0 57328 0 A 2020-03-09 Common Stock 57328 57328 D Includes (i) 19,839 shares of restricted stock units that vest in 4,960 share increments on each of 4/29/10, 4/29/11 and 4/29/12 and 4,959 shares that vest on 4/29/13 and (ii) 30,561 shares of restricted stock units that vest in 7,641 share increments on 3/9/11 and in 7,640 share increments on 3/9/12, 3/9/13 and 3/9/14. Includes 187 shares of common stock acquired under the Issuer's 401(k) plan. The information in this report is based on a plan statement dated as of December 31, 2009. 100,000 shares vest on each of 10/22/08, 10/22/09, 10/22/10, 10/22/11 and 10/22/12. 10,339 shares vest on each of 4/29/10, 4/29/11, 4/29/12 and 4/29/13. 14,332 shares vest on each of 3/9/11, 3/9/12, 3/9/13 and 3/9/14. /s/ Lars Moller 2010-03-11 -----END PRIVACY-ENHANCED MESSAGE-----