0001104659-21-064606.txt : 20210511 0001104659-21-064606.hdr.sgml : 20210511 20210511165833 ACCESSION NUMBER: 0001104659-21-064606 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210507 FILED AS OF DATE: 20210511 DATE AS OF CHANGE: 20210511 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: 21912209 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 tm2115445-9_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-05-07 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 2021-05-07 4 A 0 5770 0 A 52913 D Common Stock 9566 I By 401(k) Plan Includes (i) 3,150 restricted stock units that vest on 4/23/22; (ii) 9,270 restricted stock units that vest 4,635 shares on each of 4/30/22 and 4/30/23; and (iii) 5,770 restricted stock units that vest 1,923 shares on each of 5/1/22 and 5/1/23 and 1,924 shares on 5/1/24. /s/ Thomas A. Ciccone as Attorney-in-Fact for Gilbert W. Mayo, Jr. pursuant to Power of Attorney previously filed 2021-05-11