IPO registrations (S-1, F-1) · Registrants
BROADWIND, INC.
- SEC CIK
- 1120370 · filings on EDGAR ↗
- Name on the registration
- BROADWIND ENERGY, INC.
- Former names
- BROADWIND ENERGY, INC. (2008–2020); TOWER TECH HOLDINGS INC. (2006–2008); BLACKFOOT ENTERPRISES INC (2000–2006)
- Registration
- Form S-1, first filed 2009-05-27, last 2010-01-14; 2 initial registrations, 8 amendments
- Outcome
- Final prospectus filed 2010-01-15; declared effective 2009-08-17
- Industry (SIC)
- Nonferrous Foundries (Castings) 3360
- Incorporated in
- DE
- Business address
- 3240 S. CENTRAL AVENUE, Cicero, IL 60804
- EIN
- 88-0409160
- Ticker
- BWEN (Nasdaq)
- EDGAR entity type
- operating
- Insiders and CEO pay
- BROADWIND, INC. on the corporate pages
Offering terms
- Final price
- $5.75 per share (424B4 filed 2010-01-15)
- Shares sold
- 15,000,000
- Gross proceeds
- $86,250,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol BWEN
- Lead underwriters
- Macquarie (7,500,000 shares); J.P. Morgan (5,250,000 shares)
- Syndicate
- Raymond James (1,500,000); Lazard (750,000)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Form 5500 plan sponsor: BROADWIND, INC. EXACT (EIN (EXACT))
- SEC filer: BROADWIND ENERGY, INC. EXACT (CIK (EXACT))
- Person page: Cary B Wood Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 15
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2009-05-27 | S-1 | S-1 (registration) | BROADWIND ENERGY, INC. | 0001104659-09-034941 ↗ |
| 2009-07-14 | S-1/A | S-1/A (amendment) | BROADWIND ENERGY, INC. | 0001104659-09-043138 ↗ |
| 2009-08-13 | S-1/A | S-1/A (amendment) | BROADWIND ENERGY, INC. | 0001104659-09-049527 ↗ |
| 2009-08-17 | EFFECT | EFFECT (declared effective) | BROADWIND ENERGY, INC. | 9999999995-09-002290 ↗ |
| 2009-10-30 | S-1 | S-1 (registration) | BROADWIND ENERGY, INC. | 0001047469-09-009379 ↗ |
| 2009-11-06 | S-1/A | S-1/A (amendment) | BROADWIND ENERGY, INC. | 0001047469-09-009745 ↗ |
| 2009-12-02 | S-1/A | S-1/A (amendment) | BROADWIND ENERGY, INC. | 0001047469-09-010505 ↗ |
| 2009-12-10 | S-1/A | S-1/A (amendment) | BROADWIND ENERGY, INC. | 0001047469-09-010648 ↗ |
| 2010-01-05 | S-1/A | S-1/A (amendment) | BROADWIND ENERGY, INC. | 0001047469-10-000007 ↗ |
| 2010-01-06 | S-1/A | S-1/A (amendment) | BROADWIND ENERGY, INC. | 0001047469-10-000025 ↗ |
| 2010-01-14 | S-1/A | S-1/A (amendment) | BROADWIND ENERGY, INC. | 0001047469-10-000163 ↗ |
| 2010-01-14 | EFFECT | EFFECT (declared effective) | BROADWIND ENERGY, INC. | 9999999995-10-000211 ↗ |
| 2010-01-15 | 424B4 | 424B4 (final prospectus) | BROADWIND ENERGY, INC. | 0001047469-10-000185 ↗ |
| 2010-04-01 | EFFECT | EFFECT (declared effective) | BROADWIND ENERGY, INC. | 9999999995-10-000919 ↗ |
| 2011-08-26 | EFFECT | EFFECT (declared effective) | BROADWIND ENERGY, INC. | 9999999995-11-002582 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2010-01-14 | S-1/A | registration statement | $11.08 | 15,000,000 | $166,200,000 | Nasdaq BWEN | 4 | primary document; price line, shares headline, proceeds computed, cover names 4 | document ↗ | |
| 2010-01-15 | 424B4 | final prospectus | $5.75 | 15,000,000 | $86,250,000 | Nasdaq BWEN | 4 | primary document; price sentence, shares headline, proceeds table, underwriting table 4, cover names 4 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| ALLIE CHRISTOPHER C | Director; Director,Officer,TenPercentOwner; Director,TenPercentOwner | President & Chairman | 4 | 2006–2007 | |
| FOX TERENCE P | Director; Director,Officer,TenPercentOwner | Sec & Gen Counsel; Sec. & Gen. Counsel; VP and Secretary | 21 | 2006–2021 | |
| BRICKNER RAYMOND L III | Director; Director,Officer; Director,Officer,TenPercentOwner | President | 3 | 2006–2007 | |
| WERGIN DANIEL P | Director; Director,Officer,TenPercentOwner; Director,TenPercentOwner | Vice President | 5 | 2006–2007 | |
| FAIRCHILD SAMUEL W | Director; Director,Officer | CEO | 2 | 2006–2007 | |
| BRUMBELOW DAVID RANDALL | Officer; Other | Interim CFO | 2 | 2007 | |
| GENDELL JEFFREY L ET AL | TenPercentOwner | 24 | 2007–2013 | ||
| TONTINE CAPITAL MANAGEMENT LLC | TenPercentOwner | 24 | 2007–2013 | ||
| TONTINE CAPITAL PARTNERS L P | TenPercentOwner | 15 | 2007–2011 | ||
| HUNTINGTON STEVEN A | Officer | Chief Financial Officer | 3 | 2007 | |
| Tontine Capital Overseas GP, LLC | TenPercentOwner | 23 | 2007–2013 | ||
| Tontine Capital Overseas Master Fund, L.P. | TenPercentOwner | 14 | 2007–2011 | ||
| Drecoll John Cameron | Director,Officer; Director,Officer,TenPercentOwner; TenPercentOwner | Chief Executive Officer | 7 | 2007–2011 | |
| Tontine 25 Overseas Master Fund, L.P. | TenPercentOwner | 13 | 2007–2011 | ||
| TONTINE MANAGEMENT LLC | TenPercentOwner | 22 | 2007–2013 | ||
| TONTINE OVERSEAS ASSOCIATES LLC | TenPercentOwner | 22 | 2007–2013 | ||
| TONTINE PARTNERS L P | TenPercentOwner | 13 | 2007–2011 | ||
| Gadow Matthew J | Officer | Exec VP of Strategic Planning | 4 | 2007 | |
| Moller Lars | Officer | Exec VP and COO; Exec VP Business Development; President-Technology and Int'l | 7 | 2007–2010 | |
| Barrett William M. | Director | 2 | 2007 | ||
| Beynon Charles H. | Director | 16 | 2007–2016 | ||
| LINDSTROM JAMES M | Director | 3 | 2007–2010 | ||
| REILAND DAVID P | Director | 27 | 2008–2025 | ||
| Paxton Robert | Officer | Former SVP of Human Resources; SVP of Human Resources; VP of Human Resources | 9 | 2008–2010 | |
| Rubin Jonathan David | Officer | General Counsel; VP and General Counsel | 11 | 2008–2013 | |
| Fejes William Theodore JR | Director | 12 | 2009–2015 | ||
| GRAHAM STEPHEN E K | Officer | Chief Financial Officer | 1 | 2009 | |
| Collins Jesse E. Jr. | Officer; Officer,TenPercentOwner | Executive VP and COO; Group President | 25 | 2009–2013 | |
| Naab Donald C. | Officer; Other | Group President | 3 | 2009–2010 | |
| Johnson Kevin Edward | Officer | Corp. Cont. & Chief Acct. Off; Director of Compliance | 5 | 2009–2010 | |
| KUSHNER STEPHANIE K | Director; Director,Officer; Officer | Chief Financial Officer; Exec. VP and CFO; Interim Pres and CEO, CFO; Pres, CEO, CFO and Treasurer; President and CEO; President & CEO | 45 | 2009–2022 | |
| TONTINE ASSET ASSOCIATES, L.L.C. | TenPercentOwner | 15 | 2010–2013 | ||
| TONTINE CAPITAL OVERSEAS MASTER FUND II, L.P. | TenPercentOwner | 15 | 2010–2013 | ||
| Tontine Associates, LLC | TenPercentOwner | 12 | 2010–2013 | ||
| TONTINE POWER PARTNERS LP | TenPercentOwner | 12 | 2010–2013 | ||
| Duprey Peter C. | Director,Officer | President and CEO | 15 | 2010–2015 | |
| Wagner Thomas A. | Director | 20 | 2011–2023 | ||
| MARXE AUSTIN W & GREENHOUSE DAVID M | TenPercentOwner | 21 | 2011–2015 | ||
| ROGOWSKI ROBERT R | Officer; Officer,TenPercentOwner | Principal Accounting Officer; VP and Corporate Controller | 14 | 2013–2016 | |
| Fell David W. | Officer | General Counsel & Secretary; VP, General Counsel and Secy | 13 | 2014–2017 | |
| AWM Investment Company, Inc. | TenPercentOwner | 23 | 2015–2016 | ||
| Jensen Erik W. | Officer | VP & Chief Human Capital Off. | 8 | 2015–2019 | |
| Lisboa Persio V | Director | 3 | 2016–2017 | ||
| Wood Cary B | Director | 13 | 2016–2026 | person page Fuzzy | |
| Bonfigt Jason Lee | Officer | VP and Corporate Controller; VP, CFO and Treasurer | 23 | 2016–2021 | |
| Blashford Eric B. | Officer | Chief Operating Officer; Pres., Broadwind Towers, Inc.; President and CEO | 41 | 2017–2026 | |
| Reisinger Joseph V. | Officer | VP, Business Development | 4 | 2017–2018 | |
| Schueller Daniel E. | Officer | Pres., Brad Foote Gear Works; Pres., Broadwind Heavy Fab. | 38 | 2017–2025 | |
| Mayo Gilbert W. Jr. | Officer | Pres., Broadwind Ind. Solution; Pres. Broadwind Ind. Solutions; Pres., Process Systems; Pres., Red Wolf Company, LLC | 35 | 2018–2026 | |
| Christman Philip J | Director | 10 | 2018–2026 | ||
| Hanna Wayne W. | Officer | Pres., Brad Foote Gear Works | 13 | 2019–2023 | |
| Kennedy Hayes M. | Officer | Chief Human Resources Officer; Chief Human Resources Officer | 14 | 2020–2024 | |
| Ciccone Thomas A | Officer | VP and CFO; VP and Principal Acct Officer | 20 | 2021–2026 | |
| Shivaram Sachin M | Director | 8 | 2022–2026 | ||
| Press Jeanette A. | Director | 7 | 2023–2026 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Plan sponsor | BROADWIND, INC. | IL | Form 5500 (employee benefit plans) | EIN (EXACT) |
| SEC filer | BROADWIND, INC. | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | BROADWIND, INC. | IL | Trademarks (USPTO) | name and state |
| Form 5500 plan sponsor | BROADWIND, INC. | EIN (EXACT) | ||
| Person page | Cary B Wood | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.