0000914190-12-000556.txt : 20120912 0000914190-12-000556.hdr.sgml : 20120912 20120912164846 ACCESSION NUMBER: 0000914190-12-000556 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120909 FILED AS OF DATE: 20120912 DATE AS OF CHANGE: 20120912 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: 121088274 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 X0306 4 2012-09-09 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 2012-09-09 4 F 0 235 2.00 D 37563 D Common Stock 2336 I By 401(k) Plan Stock Option (Right to Buy) 178.00 2018-08-08 Common Stock 7500 7500 D Stock Option (Right to Buy) 77.80 2019-04-29 Common Stock 2394 2394 D Stock Option (Right to Buy) 54.40 2020-03-09 Common Stock 3081 3081 D Stock Option (Right to Buy) 13.50 2021-03-07 Common Stock 9375 9375 D Stock Option (Right to Buy) 3.40 2022-05-04 Common Stock 21603 21603 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. On 8/22/12, the Company completed a one-for-ten reverse stock split. All common stock amounts and exercise prices in the filing relating to securities acquired prior to 8/22/12 have been adjusted to reflect the one-for-ten reverse stock split. Includes (i) 1,000 shares of restricted stock units that vest in 500 share increments on each of 10/17/12 and 10/17/13; (ii) 287 shares of restricted stock units that vest on 4/29/13; (iii) 821 shares of restricted stock units that vest in 410 share increments on each of 3/9/13 and 3/9/14; (iv) 2,000 shares of restricted stock units that vest in 1,000 share increments on each of 9/9/13 and 9/9/14; (v) 5,545 shares of restricted stock units that vest in 1,848 share increments on each of 3/7/13, 3/7/14 and 3/7/15 and (vi) 21,603 shares of restricted stock units that vest 5,400 shares on 5/4/13 and in 5,401share increments on each of 5/4/14, 5/4/15 and 5/4/16. This option was previously reported as covering 75,000 shares at an exercise price of $17.80, but was adjusted to reflect the stock split that occurred on 8/22/12. 1,500 shares vest on each of 8/8/09, 8/8/10, 8/8/11, 8/8/12 and 8/8/13. This option was previously reported as covering 23,943 shares at an exercise price of $7.78 but was adjusted to reflect the stock split that occurred on 8/22/12. 598 shares vest on each of 4/29/10 and 4/29/11 and 599 shares vest on 4/29/12 and 4/29/13. This option was previously reported as covering 30,819 shares at an exercise price of $5.44 but was adjusted to reflect the stock split that occurred on 8/22/12. 771 shares vest on 3/9/11 and 770 shares vest on 3/9/12, 3/9/13 and 3/9/14. This option was previously reported as covering 93,750 shares at an exercise price of $1.35 but was adjusted to reflect the stock split that occurred on 8/22/12. 2,343 shares vest on 3/7/12, 2,344 shares vest on 3/7/13, 2,343 shares vest on 3/7/14 and 2,344 shares vest on 3/7/15. This option was previously reported as covering 216,039 shares at an exercise price of $.34 but was adjusted to reflect the stock split that occurred on 8/22/12. 5,400 shares vest on 5/4/13 and 5,401shares vest on 5/4/14, 5/4/15 and 5/4/16. Jesse E. Collins, Jr. 2012-09-12