0001104659-17-011319.txt : 20170223
0001104659-17-011319.hdr.sgml : 20170223
20170223181207
ACCESSION NUMBER: 0001104659-17-011319
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170221
FILED AS OF DATE: 20170223
DATE AS OF CHANGE: 20170223
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: KUSHNER STEPHANIE K
CENTRAL INDEX KEY: 0001232935
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34278
FILM NUMBER: 17634039
4
1
a4.xml
4
X0306
4
2017-02-21
0
0001120370
BROADWIND ENERGY, INC.
BWEN
0001232935
KUSHNER STEPHANIE K
3240 S. CENTRAL AVENUE
CICERO
IL
60804
1
1
0
0
Pres, CEO, CFO and Treasurer
Common Stock
2017-02-21
4
A
0
41382
0
A
323089
D
Common Stock
5883
I
By 401(K) Plan
Stock Option (Right to Buy)
99.90
2019-07-29
Common Stock
2500
2500
D
Stock Option (Right to Buy)
54.40
2020-03-09
Common Stock
5323
5323
D
Stock Option (Right to Buy)
13.50
2021-03-07
Common Stock
14910
14910
D
Stock Option (Right to Buy)
3.40
2022-05-04
Common Stock
34129
34129
D
Represents 41,382 restricted stock units that vest 13,794 shares on each of 2/21/18, 2/21/19 and 2/21/20.
Includes (i) 10,189 restricted stock units that vest on 2/19/18; (ii) 50,280 restricted stock units that vest 25,140 shares on each of 2/22/18 and 2/22/19; and (iii) 41,382 restricted stock units that vest 13,794 shares on each of 2/21/18, 2/21/19 and 2/21/20.
625 shares vested on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.
1,330 shares vested on 3/9/11 and 1,331 shares vested on each of 3/9/12, 3/9/13 and 3/9/14.
3,727 shares vested on each of 3/7/12 and 3/7/14 and 3,728 shares vested on each of 3/7/13 and 3/7/15.
8,532 shares vested on each of 5/4/13, 5/4/14 and 5/4/15 and 8,533 shares vested on 5/4/16.
/s/ David W. Fell as Attorney-in-Fact for Stephanie K. Kushner pursuant to Power of Attorney previously filed
2017-02-23