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