0000914190-12-000333.txt : 20120508 0000914190-12-000333.hdr.sgml : 20120508 20120508171250 ACCESSION NUMBER: 0000914190-12-000333 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120504 FILED AS OF DATE: 20120508 DATE AS OF CHANGE: 20120508 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: 12822417 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 2012-05-04 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 2012-05-04 4 A 0 216039 .34 A 377989 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 Stock Option (Right to Buy) .34 2012-05-04 4 A 0 216039 0 D 2022-05-04 Common Stock 216039 216039 D 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; (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 and (vi) 216,039 shares of restricted stock units that vest 54,009 shares on 5/4/13 and in 54,010 share increments on each of 5/4/14, 5/4/15 and 5/4/16. 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. 54,009 shares vest on 5/4/13 and 54,010 shares vest on 5/4/14, 5/4/15 and 5/4/16. Jesse E. Collins, Jr. 2012-05-08