Form Type: 4

SEC EDGAR Link
Accession Number:0001437749-21-022499
Date:2021-09-17
Issuer: BROADWIND, INC. (BWEN)
Original Submission Date:

Reporting Person:

KUSHNER STEPHANIE K
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 2021-09-17 S 7,500 d $2.91 335,806 direct
COMMON STOCK 2021-09-20 S 7,500 d $2.88 328,306 direct
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 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.
f2 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.
f3 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.
f4 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.
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