0001437749-21-023980.txt : 20211020
0001437749-21-023980.hdr.sgml : 20211020
20211020165842
ACCESSION NUMBER: 0001437749-21-023980
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211018
FILED AS OF DATE: 20211020
DATE AS OF CHANGE: 20211020
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KUSHNER STEPHANIE K
CENTRAL INDEX KEY: 0001232935
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34278
FILM NUMBER: 211334764
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
rdgdoc.xml
FORM 4
X0306
4
2021-10-18
0001120370
BROADWIND, INC.
BWEN
0001232935
KUSHNER STEPHANIE K
3240 S. CENTRAL AVENUE
CICERO
IL
60804
1
Common Stock
2021-10-18
4
S
0
7500
3.0904
D
320806
D
Common Stock
2021-10-19
4
S
0
7500
3.0392
D
313306
D
The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person on March 15, 2021 in accordance with Rule 10B5-1 of the Securities Exchange Act of 1934, as amended.
This transaction was executed in multiple trades at prices ranging from $3.06 to $3.115; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, the Company, or a security holder of the Company.
This transaction was executed in multiple trades at prices ranging from $2.96 to $3.125; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, the Company, or a security holder of the Company.
Includes (i) 32,134 restricted stock units that vest on 4/23/22; and (ii) 9,336 restricted stock units that vest on 5/1/22.
** Intentional misstatements omissions of facts constitute Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see Instruction 6 for procedure.
/s/ Thomas A. Ciccone, as Attorney-in-Fact for Stephanie K. Kushner pursuant to Power of Attorney previously filed
2021-10-20