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BWEN

BROADWIND, INC.

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6779
SEC CIK
0001120370
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283

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 22, 2018 Filed Feb 23, 2018 21:53 UTC
Blashford Eric B.Pres., Broadwind Towers, Inc.
Tax withholdingCommon Stock 4,392 $2.30 $10,101.60
Disclosure

SEC source: 0001104659-18-011737 · a4.xml · nonDerivative · entry 2

Blashford Eric B. · CIK 0001698603 · Pres., Broadwind Towers, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,070

F1 · shares: The reporting person has elected to satisfy his 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.

F2 · balance_after: Includes (i) 12,229 restricted stock units that vest on 2/22/19; (ii) 9,458 restricted stock units that vest 4,729 shares on each of 2/21/19 and 2/21/20; and (iii) 22,140 restricted stock units that vest 7,380 shares on each of 2/20/19, 2/20/20 and 2/20/21.

Read SEC document
February 22, 2018 Filed Feb 23, 2018 21:49 UTC
Jensen Erik W.VP & Chief Human Capital Off.
Tax withholdingCommon Stock 2,015 $2.30 $4,634.50
Disclosure

SEC source: 0001104659-18-011735 · a4.xml · nonDerivative · entry 2

Jensen Erik W. · CIK 0001634116 · VP & Chief Human Capital Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,455

F1 · shares: The reporting person has elected to satisfy his 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.

F2 · balance_after: Includes (i) 5,511 restricted stock units that vest on 2/22/19; (ii) 4,520 restricted stock units that vest 2,260 shares on each of 2/21/19 and 2/21/20; and (iii) 9,977 restricted stock units that vest 3,325 shares on 2/20/19 and 3,326 shares on each of 2/20/20 and 2/20/21.

Read SEC document
February 22, 2018 Filed Feb 23, 2018 21:46 UTC
Reisinger Joseph V.VP, Business Development
Tax withholdingCommon Stock 1,515 $2.30 $3,484.50
Disclosure

SEC source: 0001104659-18-011734 · a4.xml · nonDerivative · entry 2

Reisinger Joseph V. · CIK 0001698697 · VP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,469

F1 · shares: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.

F2 · balance_after: Includes (i) 4,378 restricted stock units that vest on 2/22/19; (ii) 3,591 restricted stock units that vest 1,795 shares on 2/21/19 and 1,796 shares on 2/21/20; and (iii) 8,002 restricted stock units that vest 2,667 shares on each of 2/20/19 and 2/20/20 and 2,668 shares on 2/20/21.

Read SEC document
February 21, 2018 Filed Feb 23, 2018 21:59 UTC
Mayo Gilbert W. Jr.Pres., Process Systems
Tax withholdingCommon Stock 427 $2.31 $986.37
Disclosure

SEC source: 0001104659-18-011739 · a4.xml · nonDerivative · entry 1

Mayo Gilbert W. Jr. · CIK 0001732375 · Pres., Process Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,085

F1 · shares: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.

F2 · balance_after: Includes (i) 2,880 restricted stock units that vest 1,440 shares on each of 2/21/19 and 2/21/20; (ii) 2,200 restricted stock units that vest on 7/22/18; (iii) 2,267 restricted stock units that vest 1,133 shares on 7/25/18 and 1,134 shares on 7/25/19; and (iv) 9,000 restricted stock units that vest 3,000 shares on each of 2/20/19, 2/20/20 and 2/20/21.

Read SEC document
February 21, 2018 Filed Feb 23, 2018 21:56 UTC
Bonfigt Jason LeeVP, CFO and Treasurer
Tax withholdingCommon Stock 618 $2.31 $1,427.58
Disclosure

SEC source: 0001104659-18-011738 · a4.xml · nonDerivative · entry 1

Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,976

F1 · shares: The reporting person has elected to satisfy his 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.

F2 · balance_after: Includes (i) 1,876 restricted stock units that vest on 7/22/18; (ii) 6,467 restricted stock units that vest 3,233 shares on 7/25/18 and 3,234 shares on 7/25/19; (iii) 3,570 restricted stock units that vest 1,785 shares on each of 2/21/19 and 2/21/20; and (iv) 16,125 restricted stock units that vest 5,375 shares on each of 2/20/19, 2/20/20 and 2/20/21.

Read SEC document
February 21, 2018 Filed Feb 23, 2018 21:53 UTC
Blashford Eric B.Pres., Broadwind Towers, Inc.
Tax withholdingCommon Stock 1,699 $2.31 $3,924.69
Disclosure

SEC source: 0001104659-18-011737 · a4.xml · nonDerivative · entry 1

Blashford Eric B. · CIK 0001698603 · Pres., Broadwind Towers, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,462

F1 · shares: The reporting person has elected to satisfy his 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.

Read SEC document
February 21, 2018 Filed Feb 23, 2018 21:51 UTC
Schueller Daniel E.Pres., Brad Foote Gear Works
Tax withholdingCommon Stock 654 $2.31 $1,510.74
Disclosure

SEC source: 0001104659-18-011736 · a4.xml · nonDerivative · entry 1

Schueller Daniel E. · CIK 0001698592 · Pres., Brad Foote Gear Works

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,294

F1 · shares: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.

F2 · balance_after: Includes (i) 7,600 restricted stock units that vest 3,800 shares on each of 7/25/18 and 7/25/19; (ii) 3,780 restricted stock units that vest 1,890 shares on each of 2/21/19 and 2/21/20; and (iii) 9,072 restricted stock units that vest 3,024 shares on each of 2/20/19, 2/20/20 and 2/20/21.

Read SEC document
February 21, 2018 Filed Feb 23, 2018 21:49 UTC
Jensen Erik W.VP & Chief Human Capital Off.
Tax withholdingCommon Stock 827 $2.31 $1,910.37
Disclosure

SEC source: 0001104659-18-011735 · a4.xml · nonDerivative · entry 1

Jensen Erik W. · CIK 0001634116 · VP & Chief Human Capital Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,470

F1 · shares: The reporting person has elected to satisfy his 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.

Read SEC document
February 21, 2018 Filed Feb 23, 2018 21:46 UTC
Reisinger Joseph V.VP, Business Development
Tax withholdingCommon Stock 622 $2.31 $1,436.82
Disclosure

SEC source: 0001104659-18-011734 · a4.xml · nonDerivative · entry 1

Reisinger Joseph V. · CIK 0001698697 · VP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,984

F1 · shares: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.

Read SEC document
February 20, 2018 Filed Feb 22, 2018 00:01 UTC
Schueller Daniel E.Pres., Brad Foote Gear Works
GrantCommon Stock 9,072 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-011151 · a4.xml · nonDerivative · entry 1

Schueller Daniel E. · CIK 0001698592 · Pres., Brad Foote Gear Works

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,948

F1 · shares: Represents 9,072 restricted stock units that vest 3,024 shares on each of 2/20/19, 2/20/20 and 2/20/21.

F2 · balance_after: Includes (i) 7,600 restricted stock units that vest 3,800 shares on each of 7/25/18 and 7/25/19; (ii) 5,670 restricted stock units that vest 1,890 shares on each of 2/21/18, 2/21/19 and 2/21/20; and (iii) 9,072 restricted stock units that vest 3,024 shares on each of 2/20/19, 2/20/20 and 2/20/21.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 23:56 UTC
Reisinger Joseph V.VP, Business Development
Tax withholdingCommon Stock 495 $2.39 $1,183.05
Disclosure

SEC source: 0001104659-18-011146 · a4.xml · nonDerivative · entry 2

Reisinger Joseph V. · CIK 0001698697 · VP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,606

F2 · shares: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.

F3 · balance_after: Includes (i) 8,755 restricted stock units that vest 4,377 shares on 2/22/18 and 4,378 shares on 2/22/19; (ii) 5,386 restricted stock units that vest 1,795 shares on each of 2/21/18 and 2/21/19 and 1,796 shares on 2/21/20; and (iii) 8,002 restricted stock units that vest 2,667 shares on each of 2/20/19 and 2/20/20 and 2,668 shares on 2/20/21.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 23:56 UTC
Reisinger Joseph V.VP, Business Development
GrantCommon Stock 8,002 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-011146 · a4.xml · nonDerivative · entry 1

Reisinger Joseph V. · CIK 0001698697 · VP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,101

F1 · shares: Represents 8,002 restricted stock units that vest 2,667 shares on each of 2/20/19 and 2/20/20 and 2,668 shares on 2/20/21.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 23:58 UTC
Jensen Erik W.VP & Chief Human Capital Off.
Tax withholdingCommon Stock 671 $2.39 $1,603.69
Disclosure

SEC source: 0001104659-18-011148 · a4.xml · nonDerivative · entry 2

Jensen Erik W. · CIK 0001634116 · VP & Chief Human Capital Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,297

F2 · shares: The reporting person has elected to satisfy his 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.

F3 · balance_after: Includes (i) 11,022 restricted stock units that vest 5,511 shares on each of 2/22/18 and 2/22/19; (ii) 6,780 restricted stock units that vest 2,260 shares on each of 2/21/18, 2/21/19 and 2/21/20; and (iii) 9,977 restricted stock units that vest 3,325 shares on 2/20/19 and 3,326 shares on each of 2/20/20 and 2/20/21.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 23:58 UTC
Jensen Erik W.VP & Chief Human Capital Off.
GrantCommon Stock 9,977 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-011148 · a4.xml · nonDerivative · entry 1

Jensen Erik W. · CIK 0001634116 · VP & Chief Human Capital Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,968

F1 · shares: Represents 9,977 restricted stock units that vest 3,325 shares on 2/20/19 and 3,326 shares on each of 2/20/20 and 2/20/21.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 23:55 UTC
Blashford Eric B.Pres., Broadwind Towers, Inc.
Tax withholdingCommon Stock 1,439 $2.39 $3,439.21
Disclosure

SEC source: 0001104659-18-011145 · a4.xml · nonDerivative · entry 2

Blashford Eric B. · CIK 0001698603 · Pres., Broadwind Towers, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,161

F2 · shares: The reporting person has elected to satisfy his 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.

F3 · balance_after: Includes (i) 24,458 restricted stock units that vest 12,229 shares on each of 2/22/18 and 2/22/19; (ii) 14,187 restricted stock units that vest 4,729 shares on each of 2/21/18, 2/21/19 and 2/21/20; and (iii) 22,140 restricted stock units that vest 7,380 shares on each of 2/20/19, 2/20/20 and 2/20/21.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 23:55 UTC
Blashford Eric B.Pres., Broadwind Towers, Inc.
GrantCommon Stock 22,140 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-011145 · a4.xml · nonDerivative · entry 1

Blashford Eric B. · CIK 0001698603 · Pres., Broadwind Towers, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,600

F1 · shares: Represents 22,140 restricted stock units that vest 7,380 shares on each of 2/20/19, 2/20/20 and 2/20/21.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 23:50 UTC
KUSHNER STEPHANIE KDirector · President and CEO
GrantCommon Stock 62,700 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-011143 · a4.xml · nonDerivative · entry 1

KUSHNER STEPHANIE K · CIK 0001232935 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 385,789

F1 · shares: Represents 62,700 restricted stock units that vest 20,900 shares on each of 2/20/19, 2/20/20 and 2/20/21.

F2 · balance_after: Includes (i) 50,280 restricted stock units that vest 25,140 shares on each of 2/22/18 and 2/22/19; (ii) 41,382 restricted stock units that vest 13,794 shares on each of 2/21/18, 2/21/19 and 2/21/20; and (iii) 62,700 restricted stock units that vest 20,900 shares on each of 2/20/19, 2/20/20 and 2/20/21.

Read SEC document
February 20, 2018 Filed Feb 21, 2018 23:52 UTC
Bonfigt Jason LeeVP, CFO and Treasurer
GrantCommon Stock 16,125 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-011144 · a4.xml · nonDerivative · entry 1

Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,594

F1 · shares: Represents 16,125 restricted stock units that vest 5,375 shares on each of 2/20/19, 2/20/20 and 2/20/21.

F2 · balance_after: Includes (i) 1,876 restricted stock units that vest on 7/22/18; (ii) 6,467 restricted stock units that vest 3,233 shares on 7/25/18 and 3,234 shares on 7/25/19; (iii) 5,355 restricted stock units that vest 1,785 shares on each of 2/21/18, 2/21/19 and 2/21/20; and (iv) 16,125 restricted stock units that vest 5,375 shares on each of 2/20/19, 2/20/20 and 2/20/21.

Read SEC document
August 17, 2017 Filed Aug 18, 2017 18:00 UTC PurchaseCommon Stock 1,500 $3.07 $4,605.00
Disclosure

SEC source: 0001104659-17-052614 · a4.xml · nonDerivative · entry 2

REILAND DAVID P · CIK 0001222000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,567

F1 · balance_after: Includes 3,727 restricted stock units that vest on 4/27/18.

Read SEC document
August 16, 2017 Filed Aug 18, 2017 18:00 UTC PurchaseCommon Stock 1,500 $3.10 $4,650.00
Disclosure

SEC source: 0001104659-17-052614 · a4.xml · nonDerivative · entry 1

REILAND DAVID P · CIK 0001222000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,067

Read SEC document
August 09, 2017 Filed Aug 9, 2017 22:32 UTC PurchaseCommon Stock 1,000 $3.51 $3,510.00
Disclosure

SEC source: 0001104659-17-050780 · a4.xml · nonDerivative · entry 5

REILAND DAVID P · CIK 0001222000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,567

F1 · balance_after: Includes 3,727 restricted stock units that vest on 4/27/18.

Read SEC document
August 09, 2017 Filed Aug 9, 2017 22:32 UTC PurchaseCommon Stock 1,000 $3.55 $3,550.00
Disclosure

SEC source: 0001104659-17-050780 · a4.xml · nonDerivative · entry 4

REILAND DAVID P · CIK 0001222000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,567

Read SEC document
August 08, 2017 Filed Aug 9, 2017 22:32 UTC PurchaseCommon Stock 200 $3.60 $720.00
Disclosure

SEC source: 0001104659-17-050780 · a4.xml · nonDerivative · entry 3

REILAND DAVID P · CIK 0001222000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,567

Read SEC document
August 08, 2017 Filed Aug 9, 2017 22:32 UTC PurchaseCommon Stock 1,392 $3.61 $5,025.12
Disclosure

SEC source: 0001104659-17-050780 · a4.xml · nonDerivative · entry 2

REILAND DAVID P · CIK 0001222000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,367

Read SEC document
August 07, 2017 Filed Aug 9, 2017 22:32 UTC PurchaseCommon Stock 1,000 $3.75 $3,750.00
Disclosure

SEC source: 0001104659-17-050780 · a4.xml · nonDerivative · entry 1

REILAND DAVID P · CIK 0001222000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,975

Read SEC document
July 25, 2017 Filed Jul 26, 2017 19:59 UTC
Bonfigt Jason LeeVP and Corporate Controller
Tax withholdingCommon Stock 977 $4.45 $4,347.65
Disclosure

SEC source: 0001104659-17-047064 · a4.xml · nonDerivative · entry 2

Bonfigt Jason Lee · CIK 0001681380 · VP and Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,473

F1 · shares: The reporting person has elected to satisfy his 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.

F2 · balance_after: Includes (i) 1,876 restricted stock units that vest on 7/22/18; (ii) 6,467 restricted stock units that vest 3,233 shares on 7/25/18 and 3,234 shares on 7/25/19; and (iii) 5,355 restricted stock units that vest 1,785 shares on each of 2/21/18, 2/21/19 and 2/21/20.

Read SEC document
July 25, 2017 Filed Jul 26, 2017 19:41 UTC
Schueller Daniel E.Pres., Brad Foote Gear Works
Tax withholdingCommon Stock 1,384 $4.45 $6,158.80
Disclosure

SEC source: 0001104659-17-047062 · a4.xml · nonDerivative · entry 1

Schueller Daniel E. · CIK 0001698592 · Pres., Brad Foote Gear Works

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,686

F1 · shares: The reporting person has elected to satisfy his 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.

F2 · balance_after: Includes (i) 7,600 restricted stock units that vest 3,800 shares on each of 7/25/18 and 7/25/19; and (ii) 5,670 restricted stock units that vest 1,890 shares on each of 2/21/18, 2/21/19 and 2/21/20.

Read SEC document
July 25, 2017 Filed Aug 2, 2017 23:33 UTC Amendment
Schueller Daniel E.Pres., Brad Foote Gear Works
Tax withholdingCommon Stock 1,194 $4.45 $5,313.30
Disclosure

SEC source: 0001104659-17-049015 · a4a.xml · nonDerivative · entry 1

Schueller Daniel E. · CIK 0001698592 · Pres., Brad Foote Gear Works

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,876

F1 · shares: The reporting person has elected to satisfy his 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.

F2 · balance_after: Includes (i) 7,600 restricted stock units that vest 3,800 shares on each of 7/25/18 and 7/25/19; and (ii) 5,670 restricted stock units that vest 1,890 shares on each of 2/21/18, 2/21/19 and 2/21/20.

Read SEC document
July 25, 2017 Filed Aug 2, 2017 23:08 UTC Amendment
Bonfigt Jason LeeVP and Corporate Controller
Tax withholdingCommon Stock 1,016 $4.45 $4,521.20
Disclosure

SEC source: 0001104659-17-049012 · a4a.xml · nonDerivative · entry 2

Bonfigt Jason Lee · CIK 0001681380 · VP and Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,469

F1 · shares: The reporting person has elected to satisfy his 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.

F2 · balance_after: Includes (i) 1,876 restricted stock units that vest on 7/22/18; (ii) 6,467 restricted stock units that vest 3,233 shares on 7/25/18 and 3,234 shares on 7/25/19; and (iii) 5,355 restricted stock units that vest 1,785 shares on each of 2/21/18, 2/21/19 and 2/21/20.

Read SEC document
July 24, 2017 Filed Jul 26, 2017 19:59 UTC
Bonfigt Jason LeeVP and Corporate Controller
Tax withholdingCommon Stock 983 $4.49 $4,413.67
Disclosure

SEC source: 0001104659-17-047064 · a4.xml · nonDerivative · entry 1

Bonfigt Jason Lee · CIK 0001681380 · VP and Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,450

F1 · shares: The reporting person has elected to satisfy his 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.

Read SEC document
July 24, 2017 Filed Aug 2, 2017 23:08 UTC Amendment
Bonfigt Jason LeeVP and Corporate Controller
Tax withholdingCommon Stock 948 $4.49 $4,256.52
Disclosure

SEC source: 0001104659-17-049012 · a4a.xml · nonDerivative · entry 1

Bonfigt Jason Lee · CIK 0001681380 · VP and Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,485

F1 · shares: The reporting person has elected to satisfy his 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.

Read SEC document
May 02, 2017 Filed May 3, 2017 22:26 UTC SaleCommon Stock 5,335 $7.50 $40,012.50
Disclosure

SEC source: 0001104659-17-029526 · a4.xml · nonDerivative · entry 2

Wagner Thomas A. · CIK 0001517260 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,090

F1 · balance_after: Includes 3,727 restricted stock units that vest on 4/27/18.

Read SEC document
May 02, 2017 Filed May 3, 2017 22:26 UTC SaleCommon Stock 106 $7.75 $821.50
Disclosure

SEC source: 0001104659-17-029526 · a4.xml · nonDerivative · entry 1

Wagner Thomas A. · CIK 0001517260 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,425

Read SEC document
April 27, 2017 Filed Apr 28, 2017 20:35 UTC GrantCommon Stock 3,727 $0.00 $0.00
Disclosure

SEC source: 0001104659-17-027944 · a4.xml · nonDerivative · entry 1

REILAND DAVID P · CIK 0001222000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,975

F1 · balance_after: Includes 3,727 restricted stock units that vest on 4/27/18.

Read SEC document
April 27, 2017 Filed Apr 28, 2017 20:45 UTC GrantCommon Stock 3,727 $0.00 $0.00
Disclosure

SEC source: 0001104659-17-027951 · a4.xml · nonDerivative · entry 1

Lisboa Persio V · CIK 0001624583 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,727

F1 · balance_after: Includes 3,727 restricted stock units that vest on 4/27/18.

Read SEC document
April 27, 2017 Filed Apr 28, 2017 19:46 UTC GrantCommon Stock 3,727 $0.00 $0.00
Disclosure

SEC source: 0001104659-17-027847 · a4.xml · nonDerivative · entry 1

Wagner Thomas A. · CIK 0001517260 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,531

F1 · balance_after: Includes 3,727 restricted stock units that vest on 4/27/18.

Read SEC document
April 27, 2017 Filed Apr 28, 2017 19:45 UTC
Wood Cary BDirector
GrantCommon Stock 3,727 $0.00 $0.00
Disclosure

SEC source: 0001104659-17-027844 · a4.xml · nonDerivative · entry 1

Wood Cary B · CIK 0001450239 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,727

F1 · balance_after: Includes 3,727 restricted stock units that vest on 4/27/18.

Read SEC document
April 27, 2017 Filed Apr 28, 2017 19:44 UTC GrantCommon Stock 3,727 $0.00 $0.00
Disclosure

SEC source: 0001104659-17-027843 · a4.xml · nonDerivative · entry 1

FOX TERENCE P · CIK 0001353619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,993

F1 · balance_after: Includes 3,727 restricted stock units that vest on 4/27/18.

Read SEC document
February 24, 2017 Filed Feb 27, 2017 18:53 UTC
Schueller Daniel E.Pres., Brad Foote Gear Works
SaleCommon Stock 1,000 $5.19 $5,190.00
Disclosure

SEC source: 0001104659-17-011875 · a4.xml · nonDerivative · entry 1

Schueller Daniel E. · CIK 0001698592 · Pres., Brad Foote Gear Works

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,070

F1 · balance_after: Includes (i) 11,400 restricted stock units that vest 3,800 shares on each of 7/25/17, 7/25/18 and 7/25/19; and (ii) 5,670 restricted stock units that vest 1,890 shares on each of 2/21/18, 2/21/19 and 2/21/20.

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February 22, 2017 Filed Feb 23, 2017 23:11 UTC
Reisinger Joseph V.VP, Business Development
Tax withholdingCommon Stock 1,594 $5.23 $8,336.62
Disclosure

SEC source: 0001104659-17-011318 · a4.xml · nonDerivative · entry 3

Reisinger Joseph V. · CIK 0001698697 · VP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,099

F2 · shares: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.

F3 · balance_after: Includes (i) 1,430 restricted stock units that vest on 2/19/18; (ii) 8,755 restricted stock units that vest 4,377 shares on 2/22/18 and 4,378 shares on 2/22/19; and (iii) 5,386 restricted stock units that vest 1,795 shares on each of 2/21/18 and 2/21/19 and 1,796 shares on 2/21/20.

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February 22, 2017 Filed Feb 23, 2017 22:45 UTC
Fell David W.VP, General Counsel and Secy
Tax withholdingCommon Stock 2,168 $5.23 $11,338.64
Disclosure

SEC source: 0001104659-17-011301 · a4.xml · nonDerivative · entry 3

Fell David W. · CIK 0001600767 · VP, General Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,260

F2 · shares: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.

F3 · balance_after: Includes (i) 1,900 restricted stock units that vest on 2/19/18; (ii) 11,914 restricted stock units that vest 5,957 shares on each of 2/22/18 and 2/22/19; and (iii) 2,992 restricted stock units that vest 997 shares on each of 2/21/18 and 2/21/19 and 998 shares on 2/21/20.

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February 21, 2017 Filed Feb 23, 2017 23:12 UTC
KUSHNER STEPHANIE KDirector · Pres, CEO, CFO and Treasurer
GrantCommon Stock 41,382 $0.00 $0.00
Disclosure

SEC source: 0001104659-17-011319 · a4.xml · nonDerivative · entry 1

KUSHNER STEPHANIE K · CIK 0001232935 · Director · Pres, CEO, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,089

F1 · shares: Represents 41,382 restricted stock units that vest 13,794 shares on each of 2/21/18, 2/21/19 and 2/21/20.

F2 · balance_after: Includes (i) 10,189 restricted stock units that vest on 2/19/18; (ii) 50,280 restricted stock units that vest 25,140 shares on each of 2/22/18 and 2/22/19; and (iii) 41,382 restricted stock units that vest 13,794 shares on each of 2/21/18, 2/21/19 and 2/21/20.

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February 21, 2017 Filed Feb 23, 2017 23:11 UTC
Reisinger Joseph V.VP, Business Development
Tax withholdingCommon Stock 850 $5.43 $4,615.50
Disclosure

SEC source: 0001104659-17-011318 · a4.xml · nonDerivative · entry 2

Reisinger Joseph V. · CIK 0001698697 · VP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,693

F2 · shares: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.

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February 21, 2017 Filed Feb 23, 2017 23:11 UTC
Reisinger Joseph V.VP, Business Development
GrantCommon Stock 5,386 $0.00 $0.00
Disclosure

SEC source: 0001104659-17-011318 · a4.xml · nonDerivative · entry 1

Reisinger Joseph V. · CIK 0001698697 · VP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,543

F1 · shares: Represents 5,386 restricted stock units that vest 1,795 shares on each of 2/21/18 and 2/21/19 and 1,796 shares on 2/21/20.

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February 21, 2017 Filed Feb 23, 2017 22:55 UTC
Schueller Daniel E.Pres., Brad Foote Gear Works
GrantCommon Stock 5,670 $0.00 $0.00
Disclosure

SEC source: 0001104659-17-011313 · a4.xml · nonDerivative · entry 1

Schueller Daniel E. · CIK 0001698592 · Pres., Brad Foote Gear Works

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,070

F1 · shares: Represents 5,670 restricted stock units that vest 1,890 shares on each of 2/21/18, 2/21/19 and 2/21/20.

F2 · balance_after: Includes (i) 11,400 restricted stock units that vest 3,800 shares on each of 7/25/17, 7/25/18 and 7/25/19; and (ii) 5,670 restricted stock units that vest 1,890 shares on each of 2/21/18, 2/21/19 and 2/21/20.

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February 21, 2017 Filed Feb 23, 2017 22:46 UTC
Jensen Erik W.VP & Chief Human Capital Off.
GrantCommon Stock 6,780 $0.00 $0.00
Disclosure

SEC source: 0001104659-17-011302 · a4.xml · nonDerivative · entry 1

Jensen Erik W. · CIK 0001634116 · VP & Chief Human Capital Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,991

F1 · shares: Represents 6,780 restricted stock units that vest 2,260 shares on each of 2/21/18, 2/21/19 and 2/21/20.

F2 · balance_after: Includes (i) 1,177 restricted stock units that vest on 7/23/17; (ii) 1,835 restricted stock units that vest on 2/19/18; (iii) 11,022 restricted stock units that vest 5,511 shares on each of 2/22/18 and 2/22/19; and (iv) 6,780 restricted stock units that vest 2,260 shares on each of 2/21/18, 2/21/19 and 2/21/20.

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February 21, 2017 Filed Feb 23, 2017 22:45 UTC
Fell David W.VP, General Counsel and Secy
Tax withholdingCommon Stock 1,134 $5.43 $6,157.62
Disclosure

SEC source: 0001104659-17-011301 · a4.xml · nonDerivative · entry 2

Fell David W. · CIK 0001600767 · VP, General Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,428

F2 · shares: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.

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February 21, 2017 Filed Feb 23, 2017 22:45 UTC
Fell David W.VP, General Counsel and Secy
GrantCommon Stock 2,992 $0.00 $0.00
Disclosure

SEC source: 0001104659-17-011301 · a4.xml · nonDerivative · entry 1

Fell David W. · CIK 0001600767 · VP, General Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,562

F1 · shares: Represents 2,992 restricted stock units that vest 997 shares on each of 2/21/18 and 2/21/19 and 998 shares on 2/21/20.

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February 21, 2017 Filed Feb 23, 2017 22:44 UTC
Bonfigt Jason LeeVP and Corporate Controller
GrantCommon Stock 5,355 $0.00 $0.00
Disclosure

SEC source: 0001104659-17-011299 · a4.xml · nonDerivative · entry 1

Bonfigt Jason Lee · CIK 0001681380 · VP and Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,433

F1 · shares: Represents 5,355 restricted stock units that vest 1,785 shares on each of 2/21/18, 2/21/19 and 2/21/20.

F2 · balance_after: Includes (i) 3,752 restricted stock units that vest 1,876 shares on each of 7/22/17 and 7/22/18; (ii) 1,138 restricted stock units that vest on 7/23/17; (iii) 9,700 restricted stock units that vest 3,233 shares on each of 7/25/17 and 7/25/18 and 3,234 shares on 7/25/19; and (iv) 5,355 restricted stock units that vest 1,785 shares on each of 2/21/18, 2/21/19 and 2/21/20.

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February 21, 2017 Filed Feb 23, 2017 22:44 UTC
Blashford Eric B.Pres., Broadwind Towers, Inc.
Tax withholdingCommon Stock 1,578 $5.43 $8,568.54
Disclosure

SEC source: 0001104659-17-011300 · a4.xml · nonDerivative · entry 2

Blashford Eric B. · CIK 0001698603 · Pres., Broadwind Towers, Inc.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,460

F2 · shares: The reporting person has elected to satisfy his 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.

F3 · balance_after: Includes (i) 700 restricted stock units that vest on 10/22/17; (ii) 4,052 restricted stock units that vest on 2/19/18; (iii) 24,458 restricted stock units that vest 12,229 shares on each of 2/22/18 and 2/22/19; and (iv) 14,187 restricted stock units that vest 4,729 shares on each of 2/21/18, 2/21/19 and 2/21/20.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.