0000914190-15-000208.txt : 20150506 0000914190-15-000208.hdr.sgml : 20150506 20150506172747 ACCESSION NUMBER: 0000914190-15-000208 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150504 FILED AS OF DATE: 20150506 DATE AS OF CHANGE: 20150506 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: 15838394 MAIL ADDRESS: STREET 1: 775 EDICOTT RD CITY: HIGHWOOD STATE: IL ZIP: 60040 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-05-04 0001120370 BROADWIND ENERGY, INC. BWEN 0001210278 ROGOWSKI ROBERT R 3240 S. CENTRAL AVENUE CICERO IL 60804 0 1 0 0 VP and Corporate Controller Common Stock 2015-05-04 4 F 0 514 3.98 D 26853 D Common Stock 2015-05-05 4 F 0 160 3.98 D 26693 D Common Stock 3863 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 reporting person has elected to satisfy his 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) 1,412 restricted stock units that vest on 5/4/16; (ii) 2,308 restricted stock units that vest in 1,154 share increments on each of 2/20/16 and 2/20/17; (iii) 3,136 restricted stock units that vest on 2/21/16; and (iv) 5,281 restricted stock units that vest in increments of 1,761 shares on 2/19/16 and 1,760 shares on each of 2/19/17 and 2/19/18. 437 shares vested on each of 5/5/12 and 5/5/14 , and 438 shares vested on each of 5/5/13 and 5/5/15. 1,411 shares vested on 5/4/13, 1,412 shares vested on each of 5/4/14 and 5/4/15, and 1,412 shares vest on 5/4/16. /s/ Robert R. Rogowski 2015-05-06