0000914190-13-000813.txt : 20131106 0000914190-13-000813.hdr.sgml : 20131106 20131106170323 ACCESSION NUMBER: 0000914190-13-000813 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131104 FILED AS OF DATE: 20131106 DATE AS OF CHANGE: 20131106 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: 3240 S. CENTRAL AVENUE CITY: CICERO STATE: IL ZIP: 60804 BUSINESS PHONE: 708-780-4800 MAIL ADDRESS: STREET 1: 3240 S. CENTRAL AVENUE CITY: CICERO STATE: IL ZIP: 60804 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 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: 131197252 MAIL ADDRESS: STREET 1: 6270 FIRTH ROAD CITY: FORT WORTH STATE: TX ZIP: 76116 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-11-04 0001120370 BROADWIND ENERGY, INC. BWEN 0001466906 Collins Jesse E. Jr. 3240 S. CENTRAL AVENUE CICERO IL 60804 0 1 0 0 Executive VP and COO Common Stock 2013-11-04 4 M 0 5400 3.40 A 79634 D Common Stock 2013-11-04 4 S 0 5400 7.03 D 74234 D Common Stock 2013-11-04 4 S 0 25000 7.68 D 49234 D Common Stock 2013-11-05 4 S 0 15000 7.38 D 34234 D Common Stock 2013-11-06 4 S 0 15890 7.46 D 18344 D Common Stock 5915 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 2013-11-04 4 M 0 5400 0 D 2022-05-04 Common Stock 5400 16203 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.50 to $7.90 inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc., or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.29 to $7.51 inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc., or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.35 to $7.57 inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc., or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated October 24, 2013. 100% vested. 2,343 shares vest on 3/7/12 and 2,344 shares vest on 3/7/13, 3/7/14 and 3/7/15. 5,400 shares vest on 5/4/13 and 5,401 shares vest on 5/4/14, 5/4/15 and 5/4/16. 771 shares vest on 3/9/11 and 770 shares vest on 3/9/12, 3/9/13 and 3/9/14. As previously reported, on October 24, 2013, the Reporting Person and the Issuer entered into a Separation Agreement (the "Separation Agreement"), pursuant to which the Reporting Person's employment with the Issuer will terminate as of the close of business on December 31, 2013, or such earlier date as determined by the Issuer's Board of Directors or Chief Executive Officer (but in any event no earlier than November 24, 2013). /s/ Jesse E. Collins, Jr. 2013-11-06