Form Type: 4

SEC EDGAR Link
Acccession Number:0001104659-19-045610
Date:2019-08-09
Issuer: BROADWIND ENERGY, INC. (BWEN)
Original Submission Date:

Reporting Person:

BONFIGT JASON LEE
3240 S. CENTRAL AVENUE
CICERO, IL 60804

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-08-09 P 500 a $1.88 64,824 direct
COMMON STOCK 2019-08-12 P 2,000 a $1.88 66,824 direct
COMMON STOCK 2019-08-13 P 500 a $1.78 67,324 direct
COMMON STOCK 0 $0.00 10,826 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the price reported in column 4 is a weighted average price. these shares were purchased in multiple transactions at prices ranging from $1.795 to $1.96, inclusive. the reporting person undertakes to provide to broadwind energy, inc., any security holder of broadwind energy, inc., or the staff of the securities and exchange commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this form 4.
f2 includes (i) 1,785 restricted stock units that vest on 2/21/20; (ii) 10,750 restricted stock units that vest 5,375 shares on each of 2/20/20 and 2/20/21; and (iii) 25,397 restricted stock units that vest 8,465 shares on 4/23/20 and 8,466 shares on each of 4/23/21 and 4/23/22.

Elevate your investments