0001104659-21-045567.txt : 20210401 0001104659-21-045567.hdr.sgml : 20210401 20210401161309 ACCESSION NUMBER: 0001104659-21-045567 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210225 FILED AS OF DATE: 20210401 DATE AS OF CHANGE: 20210401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schueller Daniel E. CENTRAL INDEX KEY: 0001698592 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 21798117 MAIL ADDRESS: STREET 1: 3240 S. CENTRAL AVE. 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 4/A 1 tm2111902-5_4aseq1.xml OWNERSHIP DOCUMENT X0306 4/A 2021-02-25 2021-03-01 0 0001120370 BROADWIND, INC. BWEN 0001698592 Schueller Daniel E. 3240 S. CENTRAL AVENUE CICERO IL 60804 0 1 0 0 Pres., Broadwind Heavy Fab. Common Stock 2021-02-25 4 A 0 22176 0 A 80437 D Common Stock 2021-02-25 4 F 0 10757 7.94 D 69680 D Common Stock 4700.05 I By 401(k) Plan The reporting person has elected to satisfy his withholding obligation in connection with the vesting of a performance restricted stock units award by directing the Company to withhold shares otherwise issuable pursuant to the award. Includes (i) 12,459 restricted stock units that vest 6,229 shares on 4/23/21 and 6,230 shares on 4/23/22; and (ii) 23,040 restricted stock units that vest 7,680 shares on each of 4/30/21, 4/30/22 and 4/30/23. This Form 4A corrects the number of shares that were withheld to satisfy the reporting person's withholding obligations in connection with the vesting of a performance restricted stock units award, which previously reported 7,752 shares withheld on February 25, 2021. /s/ Jason L. Bonfigt as Attorney-in-Fact for Daniel E. Schueller pursuant to Power of Attorney previously filed 2021-04-01