0001104659-21-030140.txt : 20210301 0001104659-21-030140.hdr.sgml : 20210301 20210301171928 ACCESSION NUMBER: 0001104659-21-030140 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210225 FILED AS OF DATE: 20210301 DATE AS OF CHANGE: 20210301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mayo Gilbert W. Jr. CENTRAL INDEX KEY: 0001732375 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 21699403 MAIL ADDRESS: STREET 1: 3240 S. CENTRAL AVE. CITY: CICERO STATE: IL ZIP: 60804 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BROADWIND, INC. CENTRAL INDEX KEY: 0001120370 STANDARD INDUSTRIAL CLASSIFICATION: NONFERROUS FOUNDRIES (CASTINGS) [3360] IRS NUMBER: 880409160 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3240 S. CENTRAL AVENUE CITY: CICERO STATE: IL ZIP: 60804 BUSINESS PHONE: 708-780-4800 MAIL ADDRESS: STREET 1: 3240 S. CENTRAL AVENUE CITY: CICERO STATE: IL ZIP: 60804 FORMER COMPANY: FORMER CONFORMED NAME: BROADWIND ENERGY, INC. DATE OF NAME CHANGE: 20080304 FORMER COMPANY: FORMER CONFORMED NAME: TOWER TECH HOLDINGS INC. DATE OF NAME CHANGE: 20060210 FORMER COMPANY: FORMER CONFORMED NAME: BLACKFOOT ENTERPRISES INC DATE OF NAME CHANGE: 20000726 4 1 tm218317-4_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-02-25 0 0001120370 BROADWIND, INC. BWEN 0001732375 Mayo Gilbert W. Jr. 3240 S. CENTRAL AVENUE CICERO IL 60804 0 1 0 0 Pres. Broadwind Ind. Solutions Common Stock 2021-02-25 4 A 0 22000 0 A 59831 D Common Stock 2021-02-25 4 F 0 7074 7.94 D 52757 D Common Stock 9578.55 I By 401(k) Plan 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. Includes (i) 6,300 restricted stock units that vest 3,150 shares on each of 4/23/21 and 4/23/22; and (ii) 13,905 restricted stock units that vest 4,635 shares on each of 4/30/21, 4/30/22 and 4/30/23. /s/ Thomas A. Ciccone as Attorney-in-Fact for Gilbert W. Mayo, Jr. pursuant to Power of Attorney previously filed 2021-03-01