0000914190-13-000827.txt : 20131113 0000914190-13-000827.hdr.sgml : 20131113 20131113170558 ACCESSION NUMBER: 0000914190-13-000827 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131111 FILED AS OF DATE: 20131113 DATE AS OF CHANGE: 20131113 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: ROGOWSKI ROBERT R CENTRAL INDEX KEY: 0001210278 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 131215507 MAIL ADDRESS: STREET 1: 775 EDICOTT RD CITY: HIGHWOOD STATE: IL ZIP: 60040 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-11-11 0001120370 BROADWIND ENERGY, INC. BWEN 0001210278 ROGOWSKI ROBERT R 3240 S. CENTRAL AVENUE CICERO IL 60804 0 1 0 0 Principal Accounting Officer Common Stock 2013-11-11 4 S 0 2000 7.47 D 25951 D Common Stock 3680 I By 401(k) Plan Stock Option (Right to Buy) 15.00 2021-05-05 Common Stock 1750 1750 D Stock Option (Right to Buy) 3.394 2022-05-04 Common Stock 5647 5647 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.46 to $7.51inclusive. 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. Includes (i) 875 shares of restricted stock units that vest 437 shares on 5/4/14 and 438 shares on 5/5/15; (ii) 4,236 shares of restricted stock units that vest in 1,412 share increments on each of 5/4/14, 5/4/15 and 5/4/16; and (iii) 9,406 shares of restricted stock units that vest in 3,135 share increments on each of 2/21/14 and 2/21/15 and 3,136 shares on 2/21/16. Between May 2 and November 11, 2013, the reporting person acquired additional shares of Broadwind Energy, Inc. common stock under his 401(k) plan. The information in this report is based on a plan statement dated as of November 11, 2013. 437 shares vest on each of 5/5/12 and 5/5/14 and 438 shares vest on each of 5/5/13 and 5/5/15. 1,411 shares vest on 5/4/13 and 1,412 shares vest on each of 5/4/14, 5/4/15 and 5/4/16. /s/ Robert R. Rogowski 2013-11-13