8-K 1 a08-19666_18k.htm 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C.  20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported):  July 18, 2008

 

Broadwind Energy, Inc.

(Exact name of Registrant as Specified in its Charter)

 

Delaware

(State or Other Jurisdiction of Incorporation)

 

0-31313

 

88-0409160

(Commission File Number)

 

(IRS Employer

 

 

Identification No.)

 

47 East Chicago Avenue, Suite 332

Naperville, Illinois 60540

(Address of Principal Executive Offices and Zip Code)

 

(630) 637-0315

(Registrant’s telephone number, including area code)

 

 

(Former Name or Former Address, if Changed Since Last Report)

 

Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o Pre-commencement communications pursuant to Rule 13e-14(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 



 

Item 1.01       Entry into a Material Definitive Agreement

 

On July 18, 2008, Broadwind Energy, Inc. (the “Company”) executed an amendment (the “Amendment”) to its existing Registration Rights Agreement with Tontine Capital Partners, L.P., Tontine Capital Overseas Master Fund, L.P., Tontine Partners, L.P., Tontine Overseas Fund, Ltd. and Tontine 25 Overseas Master Fund, L.P. (collectively, “Tontine”), pursuant to which the Company has agreed to register Tontine’s shares for resale. The amendment extends the deadline for the Company’s obligation to file a registration statement to September 15, 2008.

 

The foregoing summary does not purport to be complete and is qualified in its entirety by reference to the Amendment, a copy of which is attached hereto as Exhibit 10.1 and is incorporated by reference.

 

Item 9.01       Financial Statements and Exhibits.

 

(d)

 

Exhibits:

 

   10.1

Amendment No. 2, dated July 18, 2008, to Registration Rights Agreement dated March 1, 2007 and amended October 19, 2007, among Broadwind Energy, Inc., Tontine Capital Partners, L.P., Tontine Capital Overseas Master Fund, L.P., Tontine Partners, L.P., Tontine Overseas Fund, Ltd. and Tontine 25 Overseas Master Fund, L.P.

 

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SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date:  July 23, 2008

 

 

BROADWIND ENERGY, INC.

 

 

 

 

 

/s/ Matthew J. Gadow

 

Matthew J. Gadow

 

Chief Financial Officer

 

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EXHIBIT INDEX

 

Broadwind Energy, Inc.

Form 8-K Current Report

 

Exhibit

 

 

Number

 

Description

 

 

 

10.1

 

Amendment No. 2, dated July 18, 2008, to Registration Rights Agreement dated March 1, 2007 and amended October 19, 2007, among Broadwind Energy, Inc., Tontine Capital Partners, L.P., Tontine Capital Overseas Master Fund, L.P., Tontine Partners, L.P., Tontine Overseas Fund, Ltd. and Tontine 25 Overseas Master Fund, L.P.

 

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