0001104659-19-072973.txt : 20191216 0001104659-19-072973.hdr.sgml : 20191216 20191216150000 ACCESSION NUMBER: 0001104659-19-072973 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191213 FILED AS OF DATE: 20191216 DATE AS OF CHANGE: 20191216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bonfigt Jason Lee CENTRAL INDEX KEY: 0001681380 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 191286790 MAIL ADDRESS: STREET 1: 3240 S. CENTRAL AVE. CITY: CICERO STATE: IL ZIP: 60804 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 2019-12-13 0 0001120370 BROADWIND ENERGY, INC. BWEN 0001681380 Bonfigt Jason Lee 3240 S. CENTRAL AVENUE CICERO IL 60804 0 1 0 0 VP, CFO and Treasurer Common Stock 2019-12-13 4 P 0 2500 1.8379 A 71824 D Common Stock 14093.85 I By 401(k) Plan The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.8332 to $1.845, inclusive. The reporting person undertakes to provide to Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4. Includes (i) 1,785 restricted stock units that vest on 2/21/20; (ii) 10,750 restricted stock units that vest 5,375 shares on each of 2/20/20 and 2/20/21; and (iii) 25,397 restricted stock units that vest 8,465 shares on 4/23/20 and 8,466 shares on each of 4/23/21 and 4/23/22. /s/ Jason Lee Bonfigt 2019-12-16