0000914190-12-000494.txt : 20120820
0000914190-12-000494.hdr.sgml : 20120818
20120820164339
ACCESSION NUMBER: 0000914190-12-000494
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120816
FILED AS OF DATE: 20120820
DATE AS OF CHANGE: 20120820
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: 121045669
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
X0306
4
2012-08-16
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
2012-08-16
4
P
0
100000
.2175
A
827879
D
Common Stock
24404
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
2022-05-04
Common Stock
341296
341296
D
Includes (i) 6,250 shares of restricted stock units that vest on 7/29/13; (ii) 7,094 shares of restricted stock units that vest on 3/9/13 and 3/9/14; (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.
Includes additional shares received based on a plan statement dated as of August 17, 2012.
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
2012-08-20