| Accession Number: | 0001437749-23-011391 |
| Date: | 2023-04-25 |
| Issuer: | BROADWIND, INC. (BWEN) |
| Original Submission Date: |
KENNEDY HAYES M.
3240 S. CENTRAL AVENUE
CICERO, IL 60804
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | 2023-04-25 | F | 1,717 | d | $4.97 | 23,925 | direct | ||
| COMMON STOCK | 2023-04-25 | 0 | $0.00 | 6,809 | indirect |
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|
| ID | footnote |
|---|---|
| f1 | the reporting person has elected to satisfy his withholding obligation in connection with the vesting of a prior restricted stock unit grant by directing the company to withhold shares otherwise issuable pursuant to the previously reported grant. |
| f2 | includes (i) 1,898 restricted stock units that vest on 10/26/23; (ii) 3,922 restricted stock units that vest 1,961 shares on each of 5/7/23 and 5/7/24; and (iii) 8,033 restricted stock units that vest 4,016 shares on 4/25/24 and 4,017 shares on 4/25/25. |
