Broadwind (BWEN) CFO receives 15,157-share stock grant

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

BROADWIND, INC. reported that VP and CFO Thomas A. Ciccone received an equity grant of 15,157 shares of Common Stock on May 28, 2026, at $3.675 per share, categorized as a grant, award, or other acquisition. Following this grant, he directly owns 111,922 Common shares, in addition to 21,196 shares held indirectly through a 401(k) plan. His reported holdings also include restricted stock units totaling 36,599 shares scheduled to vest in tranches between May 2027 and May 2029.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Ciccone Thomas A

Role VP and CFO

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	15,157	$3.675	$56K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 111,922 shares (Direct, null); Common Stock — 21,196 shares (Indirect, By 401(k) Plan)

Footnotes (1)

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Key Figures

Equity grant size: 15,157 shares Grant price: $3.675 per share Direct holdings after grant: 111,922 shares +4 more

7 metrics

Equity grant size 15,157 shares Common Stock grant to CFO on May 28, 2026

Grant price $3.675 per share Price used for the 15,157-share award

Direct holdings after grant 111,922 shares CFO direct Common Stock ownership following transaction

Indirect 401(k) holdings 21,196 shares Common Stock held via 401(k) Plan

RSUs tranche 1 6,564 restricted stock units Vest 6,564 shares on May 16, 2027

RSUs tranche 2 14,878 restricted stock units Vest 7,439 shares on each of May 15, 2027 and 2028

RSUs tranche 3 15,157 restricted stock units Vest 5,052 shares on May 28, 2027 and 2028 and 5,053 on May 28, 2029

Key Terms

restricted stock units, 401(k) Plan, Grant, award, or other acquisition

3 terms

restricted stock units financial

"Includes (i) 6,564 restricted stock units that vest 6,564 shares on 5/16/27"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

401(k) Plan financial

"direct_or_indirect": "I", "nature_of_ownership": "By 401(k) Plan""

A 401(k) plan is a workplace retirement account that lets employees set aside part of their pay into a tax-advantaged savings pot, often with employers adding matching contributions — like a workplace piggy bank for future income. It matters to investors because the amount people save and how employers fund these plans influence consumer spending, corporate payroll costs and the flow of money into financial markets, which can affect stock prices and company valuations.

Grant, award, or other acquisition financial

""transaction_code_description": "Grant, award, or other acquisition""

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Form 4 Insider Transactions: What Each Field Means →

06/01/2026 - 05:04 PM

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Ciccone Thomas A

(Last)

(First)

(Middle)

3240 S. CENTRAL AVENUE

(Street)

CICERO

ILLINOIS

60804

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
BROADWIND, INC. [ BWEN ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	VP and CFO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/28/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	05/28/2026		A		15,157	A	$3.675	111,922⁽¹⁾	D
Common Stock								21,196	I	By 401(k) Plan

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. Includes (i) 6,564 restricted stock units that vest 6,564 shares on 5/16/27; (ii) 14,878 restricted stock units that vest 7,439 shares on each of 5/15/27 and 5/15/28; and iii) 15,157 restricted stock units that vest 5,052 shares on each of 5/28/27 and 5/28/28 and 5,053 shares on 5/28/29.

	/s/ Thomas A. Ciccone	06/01/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did Broadwind (BWEN) disclose about Thomas Ciccone in this Form 4?

Broadwind disclosed that VP and CFO Thomas A. Ciccone received a grant of 15,157 shares of Common Stock at $3.675 per share, increasing his reported equity position through direct holdings and existing indirect 401(k) holdings.

How many Broadwind (BWEN) shares did the CFO receive in the latest grant?

Thomas A. Ciccone received a grant of 15,157 shares of Broadwind Common Stock. The transaction is coded as a grant, award, or other acquisition, reflecting equity-based compensation rather than an open-market purchase of shares.

At what price were the new Broadwind (BWEN) shares granted to the CFO?

The 15,157 Broadwind Common shares granted to CFO Thomas A. Ciccone were valued at $3.675 per share. This figure represents the transaction price used for the equity award recorded in the Form 4 filing.

What are Thomas Ciccone’s direct Broadwind (BWEN) holdings after this Form 4?

After the reported grant, Thomas A. Ciccone directly holds 111,922 shares of Broadwind Common Stock. This total reflects his direct ownership following the 15,157-share equity award disclosed in the Form 4.

Does the Broadwind (BWEN) CFO hold shares indirectly through a retirement plan?

Yes. The Form 4 shows 21,196 Broadwind Common shares held indirectly for Thomas A. Ciccone through a 401(k) Plan. These shares are reported as indirect ownership separate from his directly held Common Stock.

What restricted stock units were reported for the Broadwind (BWEN) CFO?

A footnote states that Thomas A. Ciccone’s holdings include 36,599 restricted stock units, which are scheduled to vest in multiple installments between May 2027 and May 2029, adding future share delivery to his reported equity position.