4//SEC Filing
Duprey Peter C. 4
Accession 0000914190-12-000550
CIK 0001120370other
Filed
Sep 5, 8:00 PM ET
Accepted
Sep 6, 5:17 PM ET
Size
11.1 KB
Accession
0000914190-12-000550
Insider Transaction Report
Form 4
Duprey Peter C.
DirectorPresident and CEO
Transactions
- Purchase
Common Stock
2012-09-04$1.78/sh+8,300$14,774→ 96,083 total - Purchase
Common Stock
2012-09-04$1.77/sh+1,700$3,009→ 87,783 total
Holdings
- 58,083
Stock Option (Right to Buy)
Exercise: $3.40Exp: 2022-05-04→ Common Stock (58,083 underlying) - 2,622(indirect: By 401(k))
Common Stock
- 22,000
Stock Option (Right to Buy)
Exercise: $17.70Exp: 2020-11-15→ Common Stock (22,000 underlying)
Footnotes (5)
- [F1]On 8/22/12, the Company completed a one-for-ten reverse stock split. All common stock amounts and exercise prices in the filing relating to securities acquired prior to 8/22/12 have been adjusted to reflect the one-for-ten reverse stock split.
- [F2]Represents 13,500 of restricted stock units that vest in 4,500 share increments on each of 11/15/12, 11/15/13 and 11/15/14 and (ii) 58,083 of restricted stock units that vest in 14,520 share increments on each of 5/4/13 and 5/4/15 and in 14,521 share increments on 5/4/14 and 5/4/16.
- [F3]Represents shares received based on a plan statement dated as of September 5, 2012.
- [F4]This option was previously reported as covering 220,000 shares at an exercise price of $1.77, but was adjusted to reflect the stock split that occurred on 8/22/12. 5,500 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.
- [F5]This option was previously reported as covering 580,838 shares at an exercise price of $0.34, but was adjusted to reflect the stock split that occurred on 8/22/12. 14,520 shares vest on each of 5/4/13 and 5/4/15 and 14,521 share increments on 5/4/14 and 5/4/16.
Documents
Issuer
BROADWIND ENERGY, INC.
CIK 0001120370
Entity typeother
Related Parties
1- filerCIK 0001505863
Filing Metadata
- Form type
- 4
- Filed
- Sep 5, 8:00 PM ET
- Accepted
- Sep 6, 5:17 PM ET
- Size
- 11.1 KB