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