0001104659-17-050780.txt : 20170809 0001104659-17-050780.hdr.sgml : 20170809 20170809183228 ACCESSION NUMBER: 0001104659-17-050780 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170807 FILED AS OF DATE: 20170809 DATE AS OF CHANGE: 20170809 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: REILAND DAVID P CENTRAL INDEX KEY: 0001222000 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 171019275 MAIL ADDRESS: STREET 1: N49 W13650 CAMPBELL DRIVE CITY: MENOMONEE FALLS STATE: WI ZIP: 53051 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 4 1 a4.xml 4 X0306 4 2017-08-07 0 0001120370 BROADWIND ENERGY, INC. BWEN 0001222000 REILAND DAVID P 3240 S. CENTRAL AVENUE CICERO IL 60804 1 0 0 0 Common Stock 2017-08-07 4 P 0 1000 3.75 A 47975 D Common Stock 2017-08-08 4 P 0 1392 3.61 A 49367 D Common Stock 2017-08-08 4 P 0 200 3.60 A 49567 D Common Stock 2017-08-09 4 P 0 1000 3.55 A 50567 D Common Stock 2017-08-09 4 P 0 1000 3.51 A 51567 D Stock Option (Right to Buy) 102.50 2018-04-16 Common Stock 2500 2500 D Phantom Stock Common Stock 8403 8403 D Includes 3,727 restricted stock units that vest on 4/27/18. 100% vested. Each share of phantom stock is the economic equivalent of one share of Broadwind Energy, Inc. common stock. Phantom stock credited to participant's account in 2009, 2011 and 2016 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/ Jason L. Bonfigt as Attorney-in-Fact for David P. Reiland pursuant to Power of Attorney previously filed 2017-08-09