0001104659-21-053209.txt : 20210421
0001104659-21-053209.hdr.sgml : 20210421
20210421165314
ACCESSION NUMBER: 0001104659-21-053209
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210419
FILED AS OF DATE: 20210421
DATE AS OF CHANGE: 20210421
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: 21842260
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
tm2113709-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-04-19
0
0001120370
BROADWIND, INC.
BWEN
0001232935
KUSHNER STEPHANIE K
3240 S. CENTRAL AVENUE
CICERO
IL
60804
1
0
0
0
Common Stock
2021-04-19
4
S
0
17500
4.8980
D
478036
D
Common Stock
2021-04-20
4
S
0
17500
4.7611
D
460536
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 $4.80 to $5.17; 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 $4.65 to $4.95; 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) 64,268 restricted stock units that vest 32,134 shares on each of 4/23/21 and 4/23/22; and (ii) 22,500 restricted stock units that vest on 5/1/21.
/s/ Thomas A. Ciccone as Attorney-in-Fact for Stephanie K. Kushner pursuant to Power of Attorney previously filed
2021-04-21