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