0000914190-15-000101.txt : 20150223 0000914190-15-000101.hdr.sgml : 20150223 20150223184632 ACCESSION NUMBER: 0000914190-15-000101 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150219 FILED AS OF DATE: 20150223 DATE AS OF CHANGE: 20150223 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: Duprey Peter C. CENTRAL INDEX KEY: 0001505863 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 15641376 MAIL ADDRESS: STREET 1: 333 NORTH CANAL STREET STREET 2: UNIT 3001 CITY: CHICAGO STATE: IL ZIP: 60606 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-02-19 0001120370 BROADWIND ENERGY, INC. BWEN 0001505863 Duprey Peter C. 3240 S. CENTRAL AVENUE CICERO IL 60804 1 1 0 0 President and CEO Common Stock 2015-02-19 4 A 0 56651 0 A 329855 D Common Stock 5520 I By 401(k) Plan Stock Option (Right to Buy) 17.70 2020-11-15 Common Stock 22000 22000 D Stock Option (Right to Buy) 3.40 2022-05-04 Common Stock 58083 58083 D Includes (i) 29,042 restricted stock units that vest in 14,521 share increments on each of 5/4/15 and 5/14/16; (ii) 65,000 restricted stock units that vest in 32,500 share increments on each of 2/21/15 and 2/21/16; (iii) 35,890 restricted stock units that vest in increments of 11,963 shares on each of 2/20/15 and 2/20/16 and 11,964 shares on 2/20/17; and (iv) 56,651 restricted stock units that vest in increments of 18,884 shares on each of 2/19/16 and 2/19/18 and 18,883 shares on 2/19/17." 5,500 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14. 14,520 shares vest on 5/4/13 and 14,521 shares vest on each of 5/4/14, 5/4/15 and 5/4/16. /s/ Ryan C. Brauer as Attorney-in-Fact for Peter C. Duprey pursuant to Power of Attorney previously filed. 2015-02-23