0000914190-15-000200.txt : 20150427 0000914190-15-000200.hdr.sgml : 20150427 20150427172741 ACCESSION NUMBER: 0000914190-15-000200 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150423 FILED AS OF DATE: 20150427 DATE AS OF CHANGE: 20150427 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: FOX TERENCE P CENTRAL INDEX KEY: 0001353619 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 15796068 MAIL ADDRESS: STREET 1: 528 N 7TH STREET CITY: MANITOWOC STATE: WI ZIP: 54220 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-04-23 0001120370 BROADWIND ENERGY, INC. BWEN 0001353619 FOX TERENCE P 3240 S. CENTRAL AVENUE CICERO IL 60804 1 0 0 0 Common Stock 2015-04-23 4 A 0 7760 0 A 276375 D Common Stock 200000 I By Terence P. Fox and Paula L. Fox Irrevocable Trust 2005 Phantom Stock Common Stock 519 519 D Includes 7,760 shares of restricted stock units which vest on 4/23/16. Each share of phantom stock is the economic equivalent of one share of Broadwind Energy common stock. Phantom stock credited to participant's account in 2008 pursuant to and under the conditions of the Broadwind Energy, Inc. Deferred Compensation Plan. The value of the participant's account shall be paid to the participant in a single lump-sum payment, in cash, on the earliest of the participant's separation from service, death or change-in-control. /s/ Terence P. Fox 2015-04-27