-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Ap1THfaxTOdX4HdHpvFxIBBdtApOVX6/8SZTCmNxXdNqLTxZV7ekSl7yQBOzw5ak mgC1ptgaR14Mu3EL6TaD1w== 0001104659-10-028866.txt : 20100517 0001104659-10-028866.hdr.sgml : 20100517 20100517085523 ACCESSION NUMBER: 0001104659-10-028866 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100517 FILED AS OF DATE: 20100517 DATE AS OF CHANGE: 20100517 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TONTINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001272374 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 10835906 MAIL ADDRESS: STREET 1: C/O TORTINE PARTNERS LP STREET 2: 55 RAILRAOD AVENUE 3RD FL CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GENDELL JEFFREY L ET AL CENTRAL INDEX KEY: 0000948904 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 10835908 MAIL ADDRESS: STREET 2: 200 PARK AVENUE SUITE 3900 CITY: NEW YORK STATE: NY ZIP: 10166 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: 47 E. CHICAGO AVENUE STREET 2: SUITE 332 CITY: NAPERVILLE STATE: IL ZIP: 60540 BUSINESS PHONE: 630-637-0315 MAIL ADDRESS: STREET 1: 47 E. CHICAGO AVENUE STREET 2: SUITE 332 CITY: NAPERVILLE STATE: IL ZIP: 60540 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TONTINE MANAGEMENT LLC CENTRAL INDEX KEY: 0001268959 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 10835902 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2037692000 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TONTINE OVERSEAS ASSOCIATES LLC CENTRAL INDEX KEY: 0001268961 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 10835901 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2037692000 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TONTINE PARTNERS L P CENTRAL INDEX KEY: 0001269122 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 10835903 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2037692000 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TONTINE CAPITAL PARTNERS L P CENTRAL INDEX KEY: 0001276922 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 10835907 BUSINESS ADDRESS: STREET 1: C/O TONTINE CAPITAL MANAGEMENT LLC LP STREET 2: 55 RAILROAD AVENUE 3RD FL CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2037692000 MAIL ADDRESS: STREET 1: C/O TONTINE CAPITAL MANAGEMENT LLC LP STREET 2: 55 RAILROAD AVENUE 3RD FL CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tontine Capital Overseas Master Fund, L.P. CENTRAL INDEX KEY: 0001409485 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 10835905 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-769-2000 MAIL ADDRESS: STREET 1: 55 RAILROAD AVE CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tontine Capital Overseas GP, LLC CENTRAL INDEX KEY: 0001409490 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 10835904 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-769-2000 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tontine 25 Overseas Master Fund, L.P. CENTRAL INDEX KEY: 0001415527 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1207 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 10835900 BUSINESS ADDRESS: STREET 1: 55 RAILROAD AVENUE, 1ST FL CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-769-2000 MAIL ADDRESS: STREET 1: 55 RAILROAD AVENUE, 1ST FL CITY: GREENWICH STATE: CT ZIP: 06830 4 1 a4.xml 4 X0303 4 2010-05-17 0 0001120370 BROADWIND ENERGY, INC. BWEN 0000948904 GENDELL JEFFREY L ET AL 55 RAILROAD AVENUE GREENWICH CT 06830 0 0 1 0 0001276922 TONTINE CAPITAL PARTNERS L P 55 RAILROAD AVENUE GREENWICH CT 06830 0 0 1 0 0001272374 TONTINE CAPITAL MANAGEMENT LLC 55 RAILROAD AVENUE GREENWICH CT 06830 0 0 1 0 0001409485 Tontine Capital Overseas Master Fund, L.P. 55 RAILROAD AVENUE GREENWICH CT 06830 0 0 1 0 0001409490 Tontine Capital Overseas GP, LLC 55 RAILROAD AVENUE GREENWICH CT 06830 0 0 1 0 0001269122 TONTINE PARTNERS L P 55 RAILROAD AVENUE GREENWICH CT 06830 0 0 1 0 0001268959 TONTINE MANAGEMENT LLC 55 RAILROAD AVENUE GREENWICH CT 06830 0 0 1 0 0001268961 TONTINE OVERSEAS ASSOCIATES LLC 55 RAILROAD AVENUE GREENWICH CT 06830 0 0 1 0 0001415527 Tontine 25 Overseas Master Fund, L.P. 55 RAILROAD AVENUE GREENWICH CT 06830 0 0 1 0 Common Stock, $0.001 par value per share 2010-05-17 4 J 0 8507346 0 D 31456289 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 3557307 0 D 27898982 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 3817230 0 D 24081752 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 1635031 0 D 22446721 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 2495921 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 574298 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 574298 0 A 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 500577 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 6938507 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 6938507 0 A 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 314989 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 967951 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 967951 0 A 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 57319 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 6291102 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 6291102 0 A 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 16975 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 16975 0 A 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 219667 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 219667 0 A 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 1517487 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 1517487 0 A 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 8852 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 8852 0 A 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 41897 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 397589 0 D 19950800 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 397589 0 A 19950800 I See Footnotes This report is filed jointly by: Tontine Capital Partners, L.P., a Delaware limited partnership ("TCP"), Tontine Capital Management, L.L.C., a Delaware limited liability company ("TCM"), Tontine Capital Overseas GP, L.L.C., a Delaware limited liability company ("TCO"), Tontine Capital Overseas Master Fund, L.P., a Cayman Islands limited partnership ("TMF"), Tontine Partners, L.P., a Delaware limited partnership ("TP"), Tontine Management, L.L.C., a Delaware limited liability company ("TM"), Tontine 25 Overseas Master Fund, L.P., a Cayman Islands limited partnership ("T25"), [continued in footnote 2] [continued from footnote 1] Tontine Overseas Associates, L.L.C., a Delaware limited liability company ("TOA"), Tontine Capital Overseas Master Fund II, L.P., a Cayman Islands limited partnership ("TCP 2"), Tontine Asset Associates, L.L.C., a Delaware limited liability company ("TAA"), Tontine Power Partners, L.P., a Delaware limited partnership ("TPP"), Tontine Associates, L.L.C., a Delaware limited liability company ("TA") and Jeffrey L. Gendell ("Mr. Gendell"). Mr. Gendell is the managing member of: (a) TCM, the general partner of TCP and T25; (b) TCO, the general partner of TMF; (c) TM, the general partner of TP and TPP; (d) TOA, the investment advisor of Tontine Overseas Fund, Ltd., a Cayman Islands exempted company ("TOF"); (e) TAA, the general partner of TCP 2; and (f) TA. On May 17, 2010, TCP, TMF, TP, TOF and T25 (the "Distributing Funds") notified investors holding ownership interests in the Distributing Funds that the Distributing Funds have elected to redeem the ownership interests in the Distributing Funds held by those investors and that the Distributing Funds will distribute shares of Common Stock (the "Distributions") to the investors on a pro rata basis in settlement of the redemption. In connection with the Distributions, the Distributing Funds are distributing to investors all of the Common Stock owned by each of the Distributing Funds. As part of the Distributions, TCP is distributing 8,507,346 shares of Common Stock to investors that are not directly or indirectly controlled by Mr. Gendell ("Non-Tontine Parties"), TP is distributing 3,557,307 shares of Common Stock to Non-Tontine Parties, TMF is distributing 3,817,230 shares of Common Stock to Non-Tontine Parties, TOF is distributing 1,635,031 shares of Common Stock to Non-Tontine Parties and T25 is distributing 2,495,921 shares of Common Stock to Non-Tontine Parties. Also as part of the Distributions (i) TCP is distributing 574,298 shares of Common Stock to TCM, 500,577 shares of Common Stock to TA and 6,938,507 shares of Common Stock to TCP 2, (ii) TP is distributing 314,989 shares of Common Stock to TA, 967,951 shares of Common Stock to TM, 57,319 shares of Common Stock to TPP and 6,291,102 shares of Common Stock to TCP 2, (iii) TMF is distributing 16,975 shares of Common Stock to TCO and 219,667 shares of Common Stock to TCP 2, (iv) TOF is distributing 1,517,487 shares of Common Stock to TOA and (v) T25 is distributing 8,852 shares of Common Stock to TCM, 41,897 shares of Common Stock to TA and 397,589 shares of Common Stock to TCP 2. The transactions described in this footnote will not change the aggregate Common Stock ownership of the filing parties. After the completion of the transactions reported on this Form 4, Mr. Gendell, TCP, TMF, TP, TOF, T25 and TAA will directly own 0 shares of Common Stock, TCM will directly own 583,150 shares of Common Stock, TCO will directly own 16,975 shares of Common Stock, TM will directly own 967,951 shares of Common Stock, TOA will directly own 1,517,487 shares of Common Stock, TCP 2 will directly own 15,950,455 shares of Common Stock, TPP will directly own 57,319 shares of Common Stock and TA will directly own 857,463 shares of Common Stock. All of the foregoing securities may be deemed to be beneficially owned by Mr. Gendell. Securities held by TCP and T25 may be deemed to be beneficially owned by TCM. Securities held by TMF may be deemed to be beneficially owned by TCO. Securities held by TP and TPP may be deemed to be beneficially owned by TM. Securities held by TOF may be deemed to be beneficially owned by TOA. Securities held by TCP 2 may be deemed to be beneficially owned by TAA. Mr. Gendell disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by Mr. Gendell or representing Mr. Gendell's pro rata interest in, and interest in the profits of, TCM, TCO, TM, TOA, TCP 2, TAA, TPP and TA. TCM disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TCM. TCO disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TCO. TM disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TM or representing TM's pro rata interest in, and interest in the profits of, TPP. TOA disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TOA. TAA disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TAA or representing TAA's pro rata interest in, and interest in the profits of, TCP 2. TA disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TA. This Form 4 relates to the same transactions disclosed on the Form 4 filed on the date hereof by TCP 2, TAA, TPP and TA, all of which are joint filers with TCP, TCM, TMF, TCO, TP, TM, TOA, T25 and Mr. Gendell with respect to the Issuer's Common Stock. Tontine Capital Partners, L.P., By: its General Partner, Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2010-05-17 Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2010-05-17 Tontine Capital Overseas Master Fund, L.P. By: its General Partner, Tontine Capital Overseas GP, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2010-05-17 Tontine Capital Overseas GP, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2010-05-17 Tontine Partners, L.P., By: its General Partner, Tontine Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2010-05-17 Tontine Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2010-05-17 Tontine Overseas Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2010-05-17 Tontine 25 Overseas Master Fund, L.P., By: its General Partner, Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2010-05-17 /s/ Jeffrey L. Gendell 2010-05-17 -----END PRIVACY-ENHANCED MESSAGE-----