0000914190-12-000320.txt : 20120501 0000914190-12-000320.hdr.sgml : 20120501 20120501175931 ACCESSION NUMBER: 0000914190-12-000320 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120429 FILED AS OF DATE: 20120501 DATE AS OF CHANGE: 20120501 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Collins Jesse E. Jr. CENTRAL INDEX KEY: 0001466906 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 12802064 MAIL ADDRESS: STREET 1: 6270 FIRTH ROAD CITY: FORT WORTH STATE: TX ZIP: 76116 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 2012-04-29 0001120370 BROADWIND ENERGY, INC. BWEN 0001466906 Collins Jesse E. Jr. 47 EAST CHICAGO AVENUE SUITE 332 NAPERVILLE IL 60540 0 1 0 0 Executive VP and COO Common Stock 2012-04-29 4 F 0 759 .34 D 161950 D Common Stock 6662 I By 401(k) Plan Stock Option (Right to Buy) 17.80 2018-08-08 Common Stock 75000 75000 D Stock Option (Right to Buy) 7.78 2019-04-29 Common Stock 23943 23943 D Stock Option (Right to Buy) 5.44 2020-03-09 Common Stock 30819 30819 D Stock Option (Right to Buy) 1.35 2021-03-07 Common Stock 93750 93750 D The reporting person has elected to satisfy his tax withholding obligation in connection with the restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the grant. Includes (i) 10,000 shares of restricted stock units that vest in 5,000 share increments on each of 10/17/12 and 10/17/13; (ii) 2,871 shares of restricted stock units that vest on 4/29/13; (iii) 8,214 shares of restricted stock units that vest in 4,107 share increments on each of 3/9/13 and 3/9/14; (iv) 30,000 shares of restricted stock units that vest in 10,000 share increments on each of 9/9/12, 9/9/13 and 9/9/14; and (v) 55,458 shares of restricted stock units that vest in 18,486 share increments on each of 3/7/13, 3/7/14 and 3/7/15. 15,000 shares vest on each of 8/8/09, 8/8/10, 8/8/11, 8/8/12 and 8/8/13. 5,986 shares vest on each of 4/29/10, 4/29/11 and 4/29/12 and 5,985 shares vest on 4/29/13. 7,705 shares vest on 3/9/11, 3/9/12 and 3/9/13 and 7,704 shares vest on 3/9/14. 23,437 shares vest on 3/7/12, 23,438 shares vest on 3/7/13, 23,437 shares vest on 3/7/14 and 23,438 shares vest on 3/7/15. Jesse E. Collins, Jr. 2012-05-01