Current Report Filing (8-k)
April 28 2016 - 7:02AM
Edgar (US Regulatory)
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):
April 28, 2016
BROADWIND ENERGY, INC.
(Exact Name of Registrant as Specified in
Its Charter)
Delaware
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001-34278
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88-0409160
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(State or Other Jurisdiction of
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(Commission File Number)
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(IRS Employer Identification No.)
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Incorporation)
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3240 South Central Avenue, Cicero, Illinois
60804
(Address of Principal Executive Offices)
(Zip Code)
Registrant’s Telephone Number, Including
Area Code:
(708) 780-4800
Not Applicable
(Former Name or Former Address, if Changed
Since Last Report)
Check the appropriate box below if the Form 8-K filing
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-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 2.02. Results of Operations and Financial Condition.
On April 28, 2016, Broadwind Energy, Inc.
(the “Company”) issued a press release announcing its financial results as of and for the quarter ended March 31, 2016.
The press release is incorporated herein by reference and is attached hereto as Exhibit 99.1.
The information contained in, or incorporated
into, this Item 2.02 of this Current Report on Form 8-K (this “Report”), including Exhibit 99.1, is furnished
under Item 2.02 of Form 8-K and shall not be deemed “filed” for the purposes of Section 18 of the Securities
Exchange Act of 1934, as amended (the “Exchange Act”) or otherwise subject to the liabilities of that section, and
shall not be deemed to be incorporated by reference into the filings of the Company under the Securities Act of 1933, as amended
(the “Securities Act”) or the Exchange Act regardless of any general incorporation language in such filings.
Item 7.01. Regulation FD Disclosure.
An Investor Presentation dated April 28,
2016 is incorporated herein by reference and attached hereto as Exhibit 99.2.
The information contained in, or incorporated
into, this Item 7.01 of this Report, including Exhibit 99.2 attached hereto, is furnished under Item 7.01 of Form 8-K
and shall not be deemed “filed” for the purposes of Section 18 of the Exchange Act or otherwise subject to the
liabilities of that section, and shall not be deemed to be incorporated by reference into the filings of the Company under the
Securities Act or the Exchange Act regardless of any general incorporation language in such filings.
This Report shall not be deemed an admission
as to the materiality of any information in this Report that is being disclosed pursuant to Regulation FD.
Please refer to Exhibit 99.2 for a
discussion of certain forward-looking statements included therein and the risks and uncertainties related thereto.
Item 9.01. Financial
Statements and Exhibits.
(d)
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Exhibits
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EXHIBIT
NUMBER
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DESCRIPTION
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99.1
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Press Release dated April 28, 2016
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99.2
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Investor Presentation dated April 28, 2016
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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.
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BROADWIND ENERGY, INC.
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April 28, 2016
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By:
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/s/ Stephanie K. Kushner
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Stephanie K. Kushner
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Chief Financial Officer
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(Principal Financial Officer)
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EXHIBIT INDEX
EXHIBIT
NUMBER
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DESCRIPTION
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99.1
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Press Release dated April 28, 2016
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99.2
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Investor Presentation dated April 28, 2016
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