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Broadwind (NASDAQ: BWEN) CEO withholds 4,691 shares for taxes, holds 571,486

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Broadwind, Inc. President and CEO Eric B. Blashford reported a tax-related share withholding and updated his holdings. On a Form 4, he directed the company to withhold 4,691 shares of common stock at $3.96 per share to satisfy tax obligations tied to a prior restricted stock unit grant. After this tax-withholding disposition, he holds 571,486 shares directly and 40,409 shares indirectly through a 401(k) plan. Footnotes note additional equity awards, including 18,199 restricted stock units scheduled to vest into 18,199 shares on 5/16/27 and 41,250 restricted stock units that will vest into 20,625 shares on each of 5/15/27 and 5/15/28.

Positive

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Negative

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Insider Blashford Eric B.
Role President and CEO
Type Security Shares Price Value
Tax Withholding Common Stock 4,691 $3.96 $19K
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 571,486 shares (Direct, null); Common Stock — 40,409 shares (Indirect, By 401(k) Plan)
Footnotes (1)
  1. 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. Includes (i) 18,199 restricted stock units that vest 18,199 shares on 5/16/27; and (ii) 41,250 restricted stock units that vest 20,625 shares on each of 5/15/27 and 5/15/28.
Tax-withholding shares 4,691 shares Common stock withheld at $3.96 per share to cover tax
Withholding price $3.96 per share Price for 4,691 shares used for tax-withholding disposition
Direct holdings after transaction 571,486 shares Common stock directly held by CEO after tax withholding
Indirect 401(k) holdings 40,409 shares Common stock held indirectly through a 401(k) plan
RSUs vesting 5/16/27 18,199 units / shares Restricted stock units vesting into 18,199 shares on 5/16/27
Future RSU grants 41,250 units Restricted stock units vesting into 20,625 shares on 5/15/27 and 5/15/28
tax-withholding disposition financial
"Payment of exercise price or tax liability by delivering securities"
A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.
restricted stock units financial
"Includes (i) 18,199 restricted stock units that vest 18,199 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
"Common Stock holding of 40,409 shares is indirect, 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.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Blashford Eric B.
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
President and CEO
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/26/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock05/26/2026F4,691(1)D$3.96571,486(2)D
Common Stock40,409IBy 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. 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.
2. Includes (i) 18,199 restricted stock units that vest 18,199 shares on 5/16/27; and (ii) 41,250 restricted stock units that vest 20,625 shares on each of 5/15/27 and 5/15/28.
/s/ Thomas A. Ciccone as Attorney-in-Fact for Eric B. Blashford pursuant to Power of Attorney previously filed05/28/2026
** Signature of Reporting PersonDate
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) CEO Eric Blashford report in this Form 4?

Eric Blashford reported a tax-related share withholding and updated his equity holdings. He used company stock to cover taxes from a prior restricted stock unit grant, and the filing details his remaining direct and indirect Broadwind share ownership.

How many Broadwind shares were withheld for Eric Blashford’s tax obligations?

The company withheld 4,691 shares of Broadwind common stock at $3.96 per share. This satisfied Eric Blashford’s tax obligation arising from the vesting of an earlier restricted stock unit award previously reported in company filings.

What are Eric Blashford’s Broadwind share holdings after the reported transactions?

Following the tax-withholding disposition, Eric Blashford directly holds 571,486 Broadwind common shares. He also has an indirect position of 40,409 shares held through a 401(k) plan, giving a combined view of his reported ownership in this filing.

Are the tax-withholding shares in this Broadwind Form 4 an open-market sale?

No, the 4,691 shares represent a tax-withholding disposition, not an open-market sale. The shares were withheld by the company to pay taxes due on vesting restricted stock units, a common administrative mechanism rather than a discretionary stock sale.

What future restricted stock unit vesting is disclosed for Broadwind’s CEO?

The filing notes 18,199 restricted stock units that vest into 18,199 shares on 5/16/27. It also lists 41,250 restricted stock units vesting into 20,625 shares on 5/15/27 and another 20,625 shares on 5/15/28, reflecting scheduled equity compensation.

How are Eric Blashford’s indirect Broadwind holdings structured in this Form 4?

Eric Blashford’s indirect holdings consist of 40,409 Broadwind common shares held by a 401(k) plan. The filing identifies this position as indirect ownership, while his 571,486 directly held shares are reported separately as direct ownership of common stock.