UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

Date of report (Date of earliest event reported): April 23, 2015

 

 

BROADWIND ENERGY, INC.

(Exact name of registrant as specified in its charter)

 

Delaware

 

1-34278

 

88-0409160

(State or other jurisdiction
of incorporation or organization)

 

(Commission File Number)

 

(I.R.S. Employer
Identification No.)

 

3240 S. Central Avenue, Cicero, IL 60804

(Address of principal executive offices)

 

(708) 780-4800

(Registrant’s telephone number, including area code)

 

Not applicable

(Former name, former address and former fiscal year, if changed since last report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

o            Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o            Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o            Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o            Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 



 

Item 5.07.  Submission of Matters to a Vote of Security Holders.

 

On April 23, 2015, the Company’s Annual Meeting of Stockholders was held. Matters voted on by the stockholders included: (i) election of five directors to hold office for a term of one year or until their successors are duly elected and qualified; (ii) a non-binding advisory vote to approve the Company’s executive compensation (“Say-on-Pay” vote); (iii) ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for 2015; and (iv) approval of the adoption of the Broadwind Energy, Inc. 2015 Equity Incentive Plan. The results of the stockholders’ votes are reported below:

 

1.              With respect to the election of directors, the following directors were elected by the indicated votes:

 

NAME OF CANDIDATE

 

FOR

 

AGAINST

 

ABSTAIN

 

BROKER NON-VOTES

 

 

 

 

 

 

 

 

 

 

 

Charles H. Beynon

 

5,781,462

 

572,323

 

241,681

 

3,928,470

 

 

 

 

 

 

 

 

 

 

 

Peter C. Duprey

 

5,777,124

 

576,754

 

241,588

 

3,928,470

 

 

 

 

 

 

 

 

 

 

 

Terence P. Fox

 

5,945,777

 

643,202

 

6,487

 

3,928,470

 

 

 

 

 

 

 

 

 

 

 

David P. Reiland

 

5,722,388

 

630,592

 

242,486

 

3,928,470

 

 

 

 

 

 

 

 

 

 

 

Thomas A. Wagner

 

5,963,488

 

387,492

 

244,486

 

3,928,470

 

 

2.              With respect to the non-binding advisory vote to approve the Company’s executive compensation (“Say-on-Pay” vote):

 

FOR

 

AGAINST

 

ABSTAIN

 

BROKER NON-VOTES

 

5,850,514

 

728,152

 

16,800

 

3,928,470

 

 

3.              With respect to the ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for 2015:

 

FOR

 

AGAINST

 

ABSTAIN

 

BROKER NON-VOTES

 

10,241,321

 

202,352

 

80,263

 

 

 

4.         With respect to the approval of the adoption of the Broadwind Energy, Inc. 2015 Equity Incentive Plan:

 

FOR

 

AGAINST

 

ABSTAIN

 

BROKER NON-VOTES

 

5,764,791

 

806,843

 

23,832

 

 

 

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SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

BROADWIND ENERGY, INC.

 

 

 

 

April 23, 2015

By:

/s/ Stephanie K. Kushner

 

 

Stephanie K. Kushner

 

 

Executive Vice President, Chief Financial Officer and Treasurer

 

 

(Principal Financial Officer)

 

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