-----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, UmpE5OzNCLPchxvcksTG7bZCGw9DnjngaPu49UC/PWhQwmBSWfxjZWuwHCtRXjxk TruCSLrPDQXj8a2Dunymag== 0001104659-11-000708.txt : 20110106 0001104659-11-000708.hdr.sgml : 20110106 20110106213304 ACCESSION NUMBER: 0001104659-11-000708 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100517 FILED AS OF DATE: 20110106 DATE AS OF CHANGE: 20110106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TONTINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001272374 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 11515553 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 11515555 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 11515549 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 11515548 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 11515550 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 11515554 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 11515552 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 11515551 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 11515556 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/A 1 a4a.xml 4/A X0303 4/A 2010-05-17 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 8501122 0 D 31462513 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 3501238 0 D 27961275 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 3817230 0 D 24144045 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 1628963 0 D 22515082 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 2484055 0 D 20031027 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 6944731 0 D 20031027 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 6944731 0 A 20031027 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 6347171 0 D 20031027 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 6347171 0 A 20031027 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 409455 0 D 20031027 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 409455 0 A 20031027 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 6068 0 D 20031027 I See Footnotes Common Stock, $0.001 par value per share 2010-05-17 4 J 0 6068 0 A 20031027 I See Footnotes This amendment 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"). On a Form 4 filed on May 17, the filing parties incorrectly reported that (i) TCP was distributing 8,507,346 shares of Common Stock to investors that are not directly or indirectly controlled by Mr. Gendell ("Non-Tontine Parties"), (ii) TP was distributing 3,557,307 shares of Common Stock to Non-Tontine Parties, (iii) TMF was distributing 3,817,230 shares of Common Stock to Non-Tontine Parties, (iv) TOF was distributing 1,635,031 shares of Common Stock to Non-Tontine Parties (v) T25 was distributing 2,495,921 shares of Common Stock to Non-Tontine Parties, (vi) TCP was distributing 6,938,507 shares of Common Stock to TCP 2, (vii) TP was distributing 6,291,102 shares of Common Stock to TCP 2, and (viii) T25 was distributing 397,589 shares of Common Stock to TCP 2. [continued in Footnote (4)] [continued from Footnote (3)] The correct amounts distributed were as follows: (i) TCP distributed 8,501,122 shares of Common Stock to Non-Tontine Parties, (ii) TP distributed 3,501,238 shares of Common Stock to Non-Tontine Parties, (iii) TMF distributed 3,817,230 shares of Common Stock to Non-Tontine Parties, (iv) TOF distributed 1,628,963 shares of Common Stock to Non-Tontine Parties (v) T25 distributed 2,484,055 shares of Common Stock to Non-Tontine Parties, (vi) TCP distributed 6,944,731 shares of Common Stock to TCP 2, (vii) TP distributed 6,347,171 shares of Common Stock to TCP 2, (viii) T25 distributed 409,455 shares of Common Stock to TCP 2, and (ix) TOF distributed 6,068 shares of Common Stock to TCP 2. After the completion of the transactions reported on the Form 4 filed May 17, 2010, Mr. Gendell, TCP, TMF, TP, TOF, T25 and TAA directly owned 0 shares of Common Stock, TCM directly owned 583,150 shares of Common Stock, TCO directly owned 16,975 shares of Common Stock, TM directly owned 967,951 shares of Common Stock, TOA directly owned 1,517,487 shares of Common Stock, TCP 2 directly owned 16,030,682 shares of Common Stock, TPP directly owned 57,319 shares of Common Stock and TA directly owned 857,463 shares of Common Stock. This filing relates to the same transaction reported on the Form 4 filed on May 17, 2010, and amended 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 2011-01-06 Tontine Capital Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2011-01-06 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 2011-01-06 Tontine Capital Overseas GP, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2011-01-06 Tontine Partners, L.P., By: its General Partner, Tontine Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2011-01-06 Tontine Management, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2011-01-06 Tontine Overseas Associates, L.L.C., By: its Managing Member, /s/ Jeffrey L. Gendell 2011-01-06 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 2011-01-06 /s/ Jeffrey L. Gendell 2011-01-06 -----END PRIVACY-ENHANCED MESSAGE-----