0001104659-20-024342.txt : 20200224 0001104659-20-024342.hdr.sgml : 20200224 20200224174759 ACCESSION NUMBER: 0001104659-20-024342 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200220 FILED AS OF DATE: 20200224 DATE AS OF CHANGE: 20200224 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: 20645902 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 2020-02-20 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 2020-02-20 4 F 0 7232 2.18 D 484958 D Common Stock 2020-02-21 4 F 0 4773 2.15 D 480185 D Common Stock 19068 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 The reporting person has elected to satisfy her withholding obligation in connection with the vesting of a prior restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grant. Includes (i) 20,900 restricted stock units that vest on 2/20/21; and (ii) 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 2020-02-24