Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BROADWIND, INC.BWEN · Entity 6779 | VP, CFO and Treasurer | May 07, 2021 | May 11, 2021 |
| Sunworks, Inc.SUNW · Entity 95102 | Chief Financial Officer | January 05, 2024 | January 08, 2024 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BROADWIND, INC.
Report date May 07, 2021 · Filed May 11, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 123,146 |
Reported balance
After 2021-05-07 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-05-07 · Grant · Acquired 12,837 · Balance 123,146 F1: Includes (i) 8,466 restricted stock units that vest on 4/23/22; and (ii) 20,626 restricted stock units that vest 10,313 shares on each of 4/30/22 and 4/30/23; and (iii) 12,837 restricted stock units that vest 4,279 shares on each of 5/1/22, 5/1/23 and 5/1/24. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan | 14,248 |
Reported balance
Holding disclosure · report date 2021-05-07 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 14,248 |
Filing footnotes · ownership attribution and instrument terms
F1: Includes (i) 8,466 restricted stock units that vest on 4/23/22; and (ii) 20,626 restricted stock units that vest 10,313 shares on each of 4/30/22 and 4/30/23; and (iii) 12,837 restricted stock units that vest 4,279 shares on each of 5/1/22, 5/1/23 and 5/1/24.
Sunworks, Inc.
Report date January 05, 2024 · Filed January 08, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 561,258 |
Reported balance
After 2024-01-05 transaction · row 1
1 source rowRow 1 · 2024-01-05 · Tax withholding · Disposed 254 · Balance 561,258 |
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 05, 2024 Filed Jan 8, 2024 16:05 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 254 | $0.20 | $50.29 |
DisclosureSEC source: 0001493152-24-001702 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 561,258 Read SEC document |
| December 20, 2023 Filed Dec 21, 2023 16:01 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 1,141 | $0.25 | $287.65 |
DisclosureSEC source: 0001493152-23-045719 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 561,512 Read SEC document |
| December 05, 2023 Filed Dec 6, 2023 16:01 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 663 | $0.28 | $185.64 |
DisclosureSEC source: 0001493152-23-043865 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,335 Read SEC document |
| December 05, 2023 Filed Dec 7, 2023 16:32 UTC | Sunworks, Inc. SUNW · Entity 95102 | GrantCommon Stock | 362,318 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-044031 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 562,653 F1 · shares: Represents shares to be issued under a restricted stock unit agreement pursuant to the Company's 2016 Equity Incentive Plan. Shares vest in 2 equal annual installments over 2-year period. Read SEC document |
| November 06, 2023 Filed Nov 8, 2023 16:01 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 543 | $0.37 | $200.91 |
DisclosureSEC source: 0001493152-23-039891 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,998 Read SEC document |
| September 05, 2023 Filed Sep 6, 2023 16:05 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 352 | $0.78 | $274.56 |
DisclosureSEC source: 0001493152-23-031818 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 201,541 Read SEC document |
| August 05, 2023 Filed Aug 7, 2023 17:43 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 448 | $1.40 | $627.20 |
DisclosureSEC source: 0001493152-23-027067 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 201,893 Read SEC document |
| June 05, 2023 Filed Jun 6, 2023 16:15 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 454 | $1.40 | $635.60 |
DisclosureSEC source: 0001493152-23-020292 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 202,341 Read SEC document |
| May 05, 2023 Filed May 9, 2023 16:05 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 370 | $0.81 | $299.70 |
DisclosureSEC source: 0001493152-23-015938 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 202,795 Read SEC document |
| April 05, 2023 Filed Apr 6, 2023 16:01 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 440 | $1.23 | $541.20 |
DisclosureSEC source: 0001493152-23-011238 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 203,165 Read SEC document |
| March 06, 2023 Filed Mar 7, 2023 18:21 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 695 | $1.94 | $1,348.30 |
DisclosureSEC source: 0001493152-23-006941 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,605 Read SEC document |
| February 06, 2023 Filed Feb 7, 2023 16:01 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 728 | $2.18 | $1,587.04 |
DisclosureSEC source: 0001493152-23-003834 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,300 Read SEC document |
| January 27, 2023 Filed Jan 30, 2023 15:35 UTC | Sunworks, Inc. SUNW · Entity 95102 | GrantCommon Stock | 84,388 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-23-002898 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,028 F1 · shares: Represents shares to be issued pursuant to the Company's 2016 Equity Incentive Plan. Shares vest in equal annual installments over three years following the award date of January 27, 2023. Read SEC document |
| January 05, 2023 Filed Jan 6, 2023 16:01 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 643 | $1.66 | $1,067.38 |
DisclosureSEC source: 0001493152-23-000785 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,640 Read SEC document |
| December 20, 2022 Filed Dec 21, 2022 16:01 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 3,765 | $1.87 | $7,040.55 |
DisclosureSEC source: 0001493152-22-036137 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,283 Read SEC document |
| December 05, 2022 Filed Dec 6, 2022 18:02 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 942 | $2.27 | $2,138.34 |
DisclosureSEC source: 0001493152-22-034628 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,048 Read SEC document |
| November 08, 2022 Filed Nov 9, 2022 16:01 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 942 | $2.06 | $1,940.52 |
DisclosureSEC source: 0001493152-22-031086 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,990 Read SEC document |
| October 05, 2022 Filed Oct 7, 2022 16:05 UTC | Sunworks, Inc. SUNW · Entity 95102 | Tax withholdingCommon Stock | 14,426 | $2.96 | $42,700.96 |
DisclosureSEC source: 0001493152-22-027932 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,932 Read SEC document |
| June 14, 2022 Filed Jun 14, 2022 20:01 UTC | Sunworks, Inc. SUNW · Entity 95102 | PurchaseCommon Stock | 1,000 | $1.81 | $1,810.00 |
DisclosureSEC source: 0001493152-22-016786 · ownership.xml · nonDerivative · entry 2 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,358 Read SEC document |
| June 13, 2022 Filed Jun 14, 2022 20:01 UTC | Sunworks, Inc. SUNW · Entity 95102 | PurchaseCommon Stock | 2,500 | $1.90 | $4,750.00 |
DisclosureSEC source: 0001493152-22-016786 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,358 Read SEC document |
| March 16, 2022 Filed Mar 17, 2022 17:14 UTC | Sunworks, Inc. SUNW · Entity 95102 | PurchaseCommon Stock | 5,000 | $3.05 | $15,250.00 |
DisclosureSEC source: 0001493152-22-007184 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,858 F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.0082 to $3.094, inclusive. The reporting person undertakes to provide Sunworks, Inc., any security holder of Sunworks, Inc. or the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range. Read SEC document |
| December 20, 2021 Filed Dec 22, 2021 21:47 UTC | Sunworks, Inc. SUNW · Entity 95102 | GrantCommon Stock | 28,329 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-032334 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,858 F1 · shares: Represents shares to be issued pursuant to the Company's 2016 Equity Incentive Plan. Shares vest in equal annual installments over three years following the grant date. Read SEC document |
| October 05, 2021 Filed Oct 7, 2021 15:14 UTC | Sunworks, Inc. SUNW · Entity 95102 | GrantCommon Stock | 104,529 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-21-024921 · ownership.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,529 F1 · price: In connection with the terms of his employment agreement with the Company dated as of October 5, 2021, the Reporting Person received a restricted stock grant of 104,529 shares, one third of which will vest on the one year anniversary of the grant, and the balance of which will vest in twenty-four equal monthly installments commencing on the one year anniversary of the grant. Read SEC document |
| May 07, 2021 Filed May 11, 2021 20:49 UTC | BROADWIND, INC. BWEN · Entity 6779 | GrantCommon Stock | 12,837 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-064586 · tm2115445-3_4seq1.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,146 F1 · balance_after: Includes (i) 8,466 restricted stock units that vest on 4/23/22; and (ii) 20,626 restricted stock units that vest 10,313 shares on each of 4/30/22 and 4/30/23; and (iii) 12,837 restricted stock units that vest 4,279 shares on each of 5/1/22, 5/1/23 and 5/1/24. Read SEC document |
| April 30, 2021 Filed May 4, 2021 14:47 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 4,221 | $5.17 | $21,822.57 |
DisclosureSEC source: 0001104659-21-060682 · tm2115033-2_4seq1.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,309 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) 8,466 restricted stock units that vest on 4/23/22; and (ii) 20,626 restricted stock units that vest 10,313 shares on each of 4/30/22 and 4/30/23. Read SEC document |
| April 23, 2021 Filed Apr 27, 2021 19:30 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 3,407 | $5.23 | $17,818.61 |
DisclosureSEC source: 0001104659-21-055554 · tm2114337-2_4seq1.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,530 F1 · shares: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of a performance restricted stock units award by directing the Company to withhold shares otherwise issuable pursuant to the award. F2 · balance_after: Includes (i) 8,466 restricted stock units that vest on 4/23/22; and (ii) 30,938 restricted stock units that vest 10,312 shares on 4/30/21 and 10,313 shares on each of 4/30/22 and 4/30/23. Read SEC document |
| February 25, 2021 Filed Mar 1, 2021 22:17 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 11,862 | $7.94 | $94,184.28 |
DisclosureSEC source: 0001104659-21-030135 · tm218317-2_4seq1.xml · nonDerivative · entry 2 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,497 F1 · shares: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of a performance restricted stock units award by directing the Company to withhold shares otherwise issuable pursuant to the award. F2 · balance_after: Includes (i) 16,932 restricted stock units that vest 8,466 shares on each of 4/23/21 and 4/23/22; and (ii) 30,938 restricted stock units that vest 10,312 shares on 4/30/21 and 10,313 shares on each of 4/30/22 and 4/30/23. Read SEC document |
| February 25, 2021 Filed Mar 1, 2021 22:17 UTC | BROADWIND, INC. BWEN · Entity 6779 | GrantCommon Stock | 39,416 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-030135 · tm218317-2_4seq1.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,359 Read SEC document |
| February 25, 2021 Filed Apr 1, 2021 20:08 UTC Amendment | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 17,422 | $7.94 | $138,330.68 |
DisclosureSEC source: 0001104659-21-045561 · tm2111902-2_4aseq1.xml · nonDerivative · entry 2 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,937 F1 · shares: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of a performance restricted stock units award by directing the Company to withhold shares otherwise issuable pursuant to the award. F2 · balance_after: Includes (i) 16,932 restricted stock units that vest 8,466 shares on each of 4/23/21 and 4/23/22; and (ii) 30,938 restricted stock units that vest 10,312 shares on 4/30/21 and 10,313 shares on each of 4/30/22 and 4/30/23. Read SEC document |
| February 25, 2021 Filed Apr 1, 2021 20:08 UTC Amendment | BROADWIND, INC. BWEN · Entity 6779 | GrantCommon Stock | 39,416 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-045561 · tm2111902-2_4aseq1.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,359 Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 00:50 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 1,860 | $8.46 | $15,735.60 |
DisclosureSEC source: 0001104659-21-026978 · tm217661-3_4seq1.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,943 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) 16,932 restricted stock units that vest 8,466 shares on each of 4/23/21 and 4/23/22; and (ii) 30,938 restricted stock units that vest 10,312 shares on 4/30/21 and 10,313 shares on each of 4/30/22 and 4/30/23. Read SEC document |
| April 30, 2020 Filed May 5, 2020 01:43 UTC | BROADWIND, INC. BWEN · Entity 6779 | GrantCommon Stock | 30,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-056446 · a4.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,803 F1 · balance_after: Includes (i) 5,375 restricted stock units that vest on 2/20/21; (ii) 16,932 restricted stock units that vest 8,466 shares on each of 4/23/21 and 4/23/22; and (iii) 30,938 restricted stock units that vest 10,312 shares on 4/30/21 and 10,313 shares on each of 4/30/22 and 4/30/23. Read SEC document |
| April 23, 2020 Filed Apr 27, 2020 22:25 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 2,481 | $1.37 | $3,398.97 |
DisclosureSEC source: 0001104659-20-051762 · a4.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,865 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) 5,375 restricted stock units that vest on 2/20/21; and (ii) 16,932 restricted stock units that vest 8,466 shares on each of 4/23/21 and 4/23/22. Read SEC document |
| February 21, 2020 Filed Feb 24, 2020 22:47 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 618 | $2.15 | $1,328.70 |
DisclosureSEC source: 0001104659-20-024341 · a4.xml · nonDerivative · entry 2 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,346 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) 5,375 restricted stock units that vest on 2/20/21; and (ii) 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. Read SEC document |
| February 20, 2020 Filed Feb 24, 2020 22:47 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 1,860 | $2.18 | $4,054.80 |
DisclosureSEC source: 0001104659-20-024341 · a4.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,964 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 |
| December 13, 2019 Filed Dec 16, 2019 20:00 UTC | BROADWIND, INC. BWEN · Entity 6779 | PurchaseCommon Stock | 2,500 | $1.84 | $4,594.75 |
DisclosureSEC source: 0001104659-19-072973 · a4.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,824 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.8332 to $1.845, 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 · balance_after: 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. Read SEC document |
| August 16, 2019 Filed Aug 16, 2019 21:02 UTC | BROADWIND, INC. BWEN · Entity 6779 | PurchaseCommon Stock | 800 | $1.68 | $1,346.48 |
DisclosureSEC source: 0001104659-19-046401 · a4.xml · nonDerivative · entry 3 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,324 F1 · balance_after: 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. Read SEC document |
| August 15, 2019 Filed Aug 16, 2019 21:02 UTC | BROADWIND, INC. BWEN · Entity 6779 | PurchaseCommon Stock | 500 | $1.67 | $835.00 |
DisclosureSEC source: 0001104659-19-046401 · a4.xml · nonDerivative · entry 2 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,524 Read SEC document |
| August 14, 2019 Filed Aug 16, 2019 21:02 UTC | BROADWIND, INC. BWEN · Entity 6779 | PurchaseCommon Stock | 700 | $1.60 | $1,120.00 |
DisclosureSEC source: 0001104659-19-046401 · a4.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,024 Read SEC document |
| August 13, 2019 Filed Aug 13, 2019 20:43 UTC | BROADWIND, INC. BWEN · Entity 6779 | PurchaseCommon Stock | 500 | $1.78 | $890.00 |
DisclosureSEC source: 0001104659-19-045610 · a4.xml · nonDerivative · entry 3 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,324 F2 · balance_after: 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. Read SEC document |
| August 12, 2019 Filed Aug 13, 2019 20:43 UTC | BROADWIND, INC. BWEN · Entity 6779 | PurchaseCommon Stock | 2,000 | $1.88 | $3,760.00 |
DisclosureSEC source: 0001104659-19-045610 · a4.xml · nonDerivative · entry 2 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,824 F1 · price: 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. Read SEC document |
| August 09, 2019 Filed Aug 13, 2019 20:43 UTC | BROADWIND, INC. BWEN · Entity 6779 | PurchaseCommon Stock | 500 | $1.88 | $940.00 |
DisclosureSEC source: 0001104659-19-045610 · a4.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,824 Read SEC document |
| July 25, 2019 Filed Jul 29, 2019 20:46 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 1,119 | $2.18 | $2,439.42 |
DisclosureSEC source: 0001104659-19-042315 · a4.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,324 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) 1,785 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. Read SEC document |
| April 23, 2019 Filed Apr 25, 2019 20:06 UTC | BROADWIND, INC. BWEN · Entity 6779 | GrantCommon Stock | 25,397 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-023684 · a4.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,443 F1 · shares: Represents 25,397 restricted stock units that vest 8,465 shares on 4/23/20 and 8,466 shares each of 4/23/21 and 4/23/22. F2 · balance_after: Includes (i) 3,234 restricted stock units that vest on 7/25/19; (ii) 1,785 restricted stock units that vest on 2/21/20; (iii) 10,750 restricted stock units that vest 5,375 shares on each of 2/20/20 and 2/20/21; and (iv) 25,397 restricted stock units that vest 8,465 shares on 4/23/20 and 8,466 shares each of 4/23/21 and 4/23/22. Read SEC document |
| February 21, 2019 Filed Feb 22, 2019 22:08 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 618 | $1.44 | $889.92 |
DisclosureSEC source: 0001104659-19-010125 · a4.xml · nonDerivative · entry 2 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,046 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) 3,234 restricted stock units that vest on 7/25/19; (ii) 1,785 restricted stock units that vest on 2/21/20; and (iii) 10,750 restricted stock units that vest 5,375 shares on each of 2/20/20 and 2/20/21. Read SEC document |
| February 20, 2019 Filed Feb 22, 2019 22:08 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 1,860 | $1.41 | $2,622.60 |
DisclosureSEC source: 0001104659-19-010125 · a4.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,664 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 25, 2018 Filed Jul 27, 2018 15:25 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 919 | $2.44 | $2,242.36 |
DisclosureSEC source: 0001104659-18-047599 · a4.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,524 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) 3,234 restricted stock units that vest on 7/25/19; (ii) 3,570 restricted stock units that vest 1,785 shares on each of 2/21/19 and 2/21/20; and (iii) 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 |
| July 23, 2018 Filed Jul 25, 2018 22:57 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 533 | $2.45 | $1,305.85 |
DisclosureSEC source: 0001104659-18-047029 · a4.xml · nonDerivative · entry 1 Bonfigt Jason Lee · CIK 0001681380 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,443 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) 6,467 restricted stock units that vest 3,233 shares on 7/25/18 and 3,234 shares on 7/25/19; (ii) 3,570 restricted stock units that vest 1,785 shares on each of 2/21/19 and 2/21/20; and (iii) 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 21:56 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 618 | $2.31 | $1,427.58 |
DisclosureSEC 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 20, 2018 Filed Feb 21, 2018 23:52 UTC | BROADWIND, INC. BWEN · Entity 6779 | GrantCommon Stock | 16,125 | $0.00 | $0.00 |
DisclosureSEC 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.