0001104659-19-047101.txt : 20190823 0001104659-19-047101.hdr.sgml : 20190823 20190823140403 ACCESSION NUMBER: 0001104659-19-047101 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190822 FILED AS OF DATE: 20190823 DATE AS OF CHANGE: 20190823 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: 191048498 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 2019-08-22 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 2019-08-22 4 P 0 10000 1.80 A 492190 D Common Stock 15849.50 I By 401(K) Plan 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 Includes (i) 13,794 restricted stock units that vest on 2/21/20; (ii) 41,800 restricted stock units that vest 20,900 shares on each of 2/20/20 and 2/20/21; and (iii) 96,401 restricted stock units that vest 32,133 shares on 4/23/20, and 32,134 shares on each of 4/23/21 and 4/23/22. 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 previously filed 2019-08-23