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 |
|---|---|---|---|---|---|---|
| July 25, 2017 Filed Jul 26, 2017 19:59 UTC | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 977 | $4.45 | $4,347.65 |
DisclosureSEC 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 Aug 2, 2017 23:08 UTC Amendment | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 1,016 | $4.45 | $4,521.20 |
DisclosureSEC 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 | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 983 | $4.49 | $4,413.67 |
DisclosureSEC 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 | BROADWIND, INC. BWEN · Entity 6779 | Tax withholdingCommon Stock | 948 | $4.49 | $4,256.52 |
DisclosureSEC 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 |
| February 21, 2017 Filed Feb 23, 2017 22:44 UTC | BROADWIND, INC. BWEN · Entity 6779 | GrantCommon Stock | 5,355 | $0.00 | $0.00 |
DisclosureSEC 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. 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.