0000914190-15-000103.txt : 20150224 0000914190-15-000103.hdr.sgml : 20150224 20150224170429 ACCESSION NUMBER: 0000914190-15-000103 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150220 FILED AS OF DATE: 20150224 DATE AS OF CHANGE: 20150224 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: 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: 15644380 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-02-20 0001120370 BROADWIND ENERGY, INC. BWEN 0001232935 KUSHNER STEPHANIE K 3240 S. CENTRAL AVENUE CICERO IL 60804 0 1 0 0 Exec. VP and CFO Common Stock 2015-02-20 4 F 0 2063 5.09 D 214168 D Common Stock 2015-02-23 4 F 0 6981 5.01 D 207187 D Common Stock 5889 I By 401(k) Plan Stock Option (Right to Buy) 99.90 2019-07-29 Common Stock 2500 2500 D Stock Option (Right to Buy) 54.40 2020-03-09 Common Stock 5323 5323 D Stock Option (Right to Buy) 13.50 2021-03-07 Common Stock 14910 14910 D Stock Option (Right to Buy) 3.40 2022-05-04 Common Stock 34129 34129 D The reporting person has elected to satisfy her tax withholding obligation in connection with the vesting of a prior restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grant. Includes (i) 2,948 restricted stock units that vest on 3/7/15; (ii) 17,065 restricted stock units that vest in increments of 8,532 shares on 5/4/15 and 8.533 shares on 5/4/16; (iii) 20,411 restricted stock units that vest on 2/21/16; (iv) 13,661 restricted stock units that vest 6,830 shares on 2/20/16 and 6,831 shares on 2/20/17; and (v) 30,566 restricted stock units that vest in increments of 10,189 shares on each of 2/19/16 and 2/19/18 and 10,188 shares on 2/19/17. 625 shares vest on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13. 1,330 shares vest on 3/9/11 and 1,331 shares vest on each of 3/9/12, 3/9/13 and 3/9/14. 3,727 shares vest on each of 3/7/12 and 3/7/14 and 3,728 shares vest on each of 3/7/13 and 3/7/15. 8,532 shares vest on each of 5/4/13, 5/4/14 and 5/14/15 and 8,533 shares vest on 5/4/16. /s/ David W. Fell as Attorney-in-Fact for Stephanie K. Kushner pursuant to Power of Attorney previously filed. 2015-02-24