0001437749-21-023316.txt : 20211005 0001437749-21-023316.hdr.sgml : 20211005 20211005170930 ACCESSION NUMBER: 0001437749-21-023316 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211001 FILED AS OF DATE: 20211005 DATE AS OF CHANGE: 20211005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ciccone Thomas A CENTRAL INDEX KEY: 0001883049 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 211307624 MAIL ADDRESS: STREET 1: 3240 S. CENTRAL AVENUE 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 3 1 rdgdoc.xml FORM 3 X0206 3 2021-10-01 0 0001120370 BROADWIND, INC. BWEN 0001883049 Ciccone Thomas A 3240 S. CENTRAL AVENUE CICERO IL 60804 1 VP and Principal Acct Officer Common Stock 34094 D Common Stock 3637 I By the 401 (k) Plan Includes (i) 7,261 restricted stock units that vest 2,420 shares on each of 5/7/22 and 5/7/23 and 2,421 shares that vest on 5/7/24; (ii)11,467 restricted stock units that vest 5,733 shares on 4/30/22 and 5,734 shares that vest on 4/30/23; and (iii) 6,509 restricted stock units that vest on 4/23/22. /s/ Thomas A. Ciccone 2021-10-05