Statement of Changes in Beneficial Ownership (4)
February 23 2017 - 6:13PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Reisinger Joseph V.
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2. Issuer Name
and
Ticker or Trading Symbol
BROADWIND ENERGY, INC.
[
BWEN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
VP, Business Development
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(Last)
(First)
(Middle)
3240 S. CENTRAL AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/21/2017
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(Street)
CICERO, IL 60804
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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2/21/2017
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A
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5386
(1)
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A
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$0
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33543
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D
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Common Stock
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2/21/2017
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F
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850
(2)
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D
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$5.43
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32693
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D
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Common Stock
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2/22/2017
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F
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1594
(2)
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D
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$5.23
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31099
(3)
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D
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Common Stock
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1590
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I
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By 401(k) Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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$3.4
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(4)
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5/4/2022
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Common Stock
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3076
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3076
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D
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Explanation of Responses:
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(
1)
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Represents 5,386 restricted stock units that vest 1,795 shares on each of 2/21/18 and 2/21/19 and 1,796 shares on 2/21/20.
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(
2)
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The reporting person has elected to satisfy his withholding obligation in connection with the vesting of prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.
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(
3)
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Includes (i) 1,430 restricted stock units that vest on 2/19/18; (ii) 8,755 restricted stock units that vest 4,377 shares on 2/22/18 and 4,378 shares on 2/22/19; and (iii) 5,386 restricted stock units that vest 1,795 shares on each of 2/21/18 and 2/21/19 and 1,796 shares on 2/21/20.
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(
4)
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769 shares vested on each of 5/4/13, 5/4/14, 5/4/15 and 5/4/16.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Reisinger Joseph V.
3240 S. CENTRAL AVENUE
CICERO, IL 60804
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VP, Business Development
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Signatures
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/s/ David W. Fell as Attorney-in-Fact for Joseph V. Reisinger pursuant to Power of Attorney previously filed
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2/23/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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