0001104659-21-074977.txt : 20210601 0001104659-21-074977.hdr.sgml : 20210601 20210601153706 ACCESSION NUMBER: 0001104659-21-074977 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210527 FILED AS OF DATE: 20210601 DATE AS OF CHANGE: 20210601 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wagner Thomas A. CENTRAL INDEX KEY: 0001517260 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 21985025 MAIL ADDRESS: STREET 1: 66 WEYRICK ROAD CITY: TROY STATE: NY ZIP: 12180 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 tm2118154-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-05-27 0 0001120370 BROADWIND, INC. BWEN 0001517260 Wagner Thomas A. 3240 S. CENTRAL AVENUE CICERO IL 60804 1 0 0 0 Common Stock 2021-05-27 4 S 0 20000 4.4678 D 70685 D Includes 9,336 restricted stock units that vest on 5/1/22. /s/ Thomas A. Ciccone as Attorney-in-Fact for Thomas A. Wagner pursuant to Power of Attorney previously filed 2021-06-01