0001104659-18-011143.txt : 20180221 0001104659-18-011143.hdr.sgml : 20180221 20180221185028 ACCESSION NUMBER: 0001104659-18-011143 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180220 FILED AS OF DATE: 20180221 DATE AS OF CHANGE: 20180221 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: 18630093 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 2018-02-20 0 0001120370 BROADWIND ENERGY, INC. BWEN 0001232935 KUSHNER STEPHANIE K 3240 S. CENTRAL AVENUE CICERO IL 60804 1 1 0 0 President and CEO Common Stock 2018-02-20 4 A 0 62700 0 A 385789 D Common Stock 7328 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 62,700 restricted stock units that vest 20,900 shares on each of 2/20/19, 2/20/20 and 2/20/21. Includes (i) 50,280 restricted stock units that vest 25,140 shares on each of 2/22/18 and 2/22/19; (ii) 41,382 restricted stock units that vest 13,794 shares on each of 2/21/18, 2/21/19 and 2/21/20; and (iii) 62,700 restricted stock units that vest 20,900 shares on each of 2/20/19, 2/20/20 and 2/20/21. 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/ Thomas A. Ciccone as Attorney-in-Fact for Stephanie K. Kushner pursuant to Power of Attorney filed herewith 2018-02-21 EX-24.1 2 ex-24d1.htm EX-24.1

Exhibit 24.1

 

POWER OF ATTORNEY

 

Know all by these presents, that the undersigned hereby constitutes and appoints each of Jason L. Bonfigt, Thomas A. Ciccone, Julie S. Hellmich and Taylor R. Melching, signing singly, the undersigned’s true and lawful attorney-in-fact to:

 

(1)                                      execute for and on behalf of the undersigned, in accordance with the undersigned’s capacity as a reporting person of Broadwind Energy, Inc. (the “Company”), Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended, and the rules thereunder (the “Act”);

 

(2)                                      do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5 and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and

 

(3)                                      take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in his or her discretion.

 

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Act.

 

This Power of Attorney revokes any Power of Attorney previously executed by the undersigned with respect to the undersigned’s reporting obligation pursuant to Section 16 of the Act. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.

 

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of the 1st day of May 2017.

 

 

/s/ Stephanie K. Kushner

 

Name: Stephanie K. Kushner