Broadwind (NASDAQ: BWEN) CFO logs tax-withholding share move, retains holdings

Rhea-AI Filing Summary

BROADWIND, INC. VP and CFO Thomas A. Ciccone reported routine equity activity involving company stock. He directed the company to withhold 1,282 shares of common stock at $3.96 per share to cover tax obligations related to a previously granted restricted stock unit award.

After this tax-withholding disposition, he directly holds 96,765 shares of common stock. He also has an indirect holding of 21,196 shares through a 401(k) Plan. Footnote disclosure indicates additional unvested restricted stock units scheduled to vest into shares in 2027 and 2028, reinforcing that the reported disposition reflects tax settlement rather than an open-market sale.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Ciccone Thomas A

Role VP and CFO

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock	1,282	$3.96	$5K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 96,765 shares (Direct, null); Common Stock — 21,196 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) 6,564 restricted stock units that vest 6,564 shares on 5/16/27; and (ii) 14,878 restricted stock units that vest 7,439 shares on each of 5/15/27 and 5/15/28.

Key Figures

Tax-withheld shares: 1,282 shares Withholding price: $3.96 per share Direct holdings after transaction: 96,765 shares +3 more

6 metrics

Tax-withheld shares 1,282 shares Common Stock withheld to satisfy tax obligation

Withholding price $3.96 per share Value used for tax-withholding disposition

Direct holdings after transaction 96,765 shares Common Stock directly owned post-transaction

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

RSUs vesting 5/16/27 6,564 RSUs / shares Restricted stock units scheduled to vest into shares

RSUs vesting 5/15/27 and 5/15/28 14,878 RSUs Vest 7,439 shares on each vesting date

Key Terms

tax-withholding disposition, restricted stock unit, 401(k) Plan, withhold shares otherwise issuable

4 terms

tax-withholding disposition financial

"transaction_action": "tax-withholding disposition""

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 unit financial

"withholding obligation in connection with the vesting of a prior restricted stock unit grant"

A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.

401(k) Plan financial

"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.

withhold shares otherwise issuable financial

"to withhold shares otherwise issuable pursuant to the previously reported grant"

Form 4 Insider Transactions: What Each Field Means →

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)
05/26/2026

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	05/26/2026		F		1,282(1)	D	$3.96	96,765(2)	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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount 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) 6,564 restricted stock units that vest 6,564 shares on 5/16/27; and (ii) 14,878 restricted stock units that vest 7,439 shares on each of 5/15/27 and 5/15/28.

	/s/ Thomas A. Ciccone	05/28/2026
	** 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)

FAQ

What insider activity did BWEN VP and CFO Thomas Ciccone report?

Thomas Ciccone reported a tax-related share disposition. He had 1,282 common shares withheld at $3.96 per share to satisfy tax obligations on a prior restricted stock unit grant, rather than selling shares in the open market.

How many BROADWIND (BWEN) shares does the CFO hold after this Form 4?

After the transaction, the CFO directly holds 96,765 BWEN shares. The filing also shows an indirect holding of 21,196 shares through a 401(k) Plan, providing context on his overall equity exposure to the company.

Was the BWEN CFO’s Form 4 transaction an open-market sale?

No, the reported transaction was a tax-withholding disposition. The company withheld 1,282 shares otherwise deliverable under a restricted stock unit grant to cover the CFO’s tax liability, according to the filing’s footnote disclosure.

What price per share was used for the BWEN CFO’s tax withholding?

The tax-withholding disposition used a price of $3.96 per share. At this price, 1,282 common shares were withheld instead of cash to satisfy the CFO’s tax obligation associated with a prior restricted stock unit vesting.

Does the BWEN Form 4 mention future vesting restricted stock units for the CFO?

Yes, the footnotes describe additional unvested restricted stock units. They include 6,564 RSUs vesting into 6,564 shares on 5/16/27 and 14,878 RSUs vesting into 7,439 shares on each of 5/15/27 and 5/15/28.