Form Type: 4

SEC EDGAR Link
Accession Number:0001437749-23-016126
Date:2023-05-25
Issuer: BROADWIND, INC. (BWEN)
Original Submission Date:

Reporting Person:

MAYO GILBERT W. JR.
3240 S. CENTRAL AVENUE
CICERO, IL 60804

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2023-05-25 A 7,109 a $0.00 76,571 direct
COMMON STOCK 2023-05-25 A 16,540 a $0.00 93,111 direct
COMMON STOCK 2023-05-25 F 7,002 d $4.11 86,109 direct
COMMON STOCK 2023-05-25 0 $0.00 15,895 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
f1 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.
f2 includes (i) 1,924 restricted stock units that vest on 5/7/24; (ii) 7,957 restricted stock units that vest 3,978 shares on 4/25/24 and 3,979 shares on 4/25/25; and (iii) 7,109 restricted stock units that vest 2,369 shares on 5/25/24 and 2,370 shares on each of 5/25/25 and 5/25/26.
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