0001437749-21-022499.txt : 20210921
0001437749-21-022499.hdr.sgml : 20210921
20210921170255
ACCESSION NUMBER: 0001437749-21-022499
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210917
FILED AS OF DATE: 20210921
DATE AS OF CHANGE: 20210921
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: 211267094
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
2021-09-17
0001120370
BROADWIND, INC.
BWEN
0001232935
KUSHNER STEPHANIE K
3240 S. CENTRAL AVENUE
CICERO
IL
60804
1
Common Stock
2021-09-17
4
S
0
7500
2.9083
D
335806
D
Common Stock
2021-09-20
4
S
0
7500
2.8815
D
328306
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 $2.88 to $2.94; the price reported above reflects the weighted average sales 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 $2.85 to $2.91; the price reported above reflects the weighted average sales 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.
/s/ Thomas A. Ciccone, as Attorney-in-Fact for Stephanie K. Kushner pursuant to Power of Attorney previously filed
2021-09-21