Broadwind director granted 13,605 RSUs

Shivaram Sachin M reported acquisition or exercise transactions in this Form 4 filing.

Accepted by SEC EDGAR 06/01/2026 - 05:02 PM EDT

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Form Type

Rhea-AI Filing Summary

Shivaram Sachin M reported acquisition or exercise transactions in this Form 4 filing.

BROADWIND, INC. director Shivaram Sachin M received an equity grant of 13,605 shares of Common Stock at $3.675 per share. The award consists of restricted stock units that vest on 5/28/27, rather than an open-market purchase. After this grant, he directly holds 117,663 shares of Broadwind common stock.

Insider Trade Summary

Grant/Award: 13,605 shares

Grant/Award 1 txn

Insider Shivaram Sachin M

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	13,605	$3.675	$50K

Holdings After Transaction: Common Stock — 117,663 shares (Direct)

Footnotes (1)

F1. Includes 13,605 restricted stock units that vest on 5/28/27.

Key Figures

Equity grant: 13,605 shares Grant price: $3.675 per share Post-grant holdings: 117,663 shares +1 more

4 metrics

Equity grant 13,605 shares Restricted stock units granted to director

Grant price $3.675 per share Reported price for RSU award

Post-grant holdings 117,663 shares Total Common Stock held directly after grant

Vesting date May 28, 2027 Restricted stock units vesting date

Key Terms

restricted stock units, Common Stock, Grant, award, or other acquisition

3 terms

restricted stock units financial

"Includes 13,605 restricted stock units that vest on 5/28/27."

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.

Common Stock financial

"security_title: Common Stock in the reported transaction."

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

Grant, award, or other acquisition financial

"transaction_code_description: Grant, award, or other acquisition"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did Broadwind (BWEN) director Shivaram Sachin M report on this Form 4?

Broadwind director Shivaram Sachin M reported receiving a grant of 13,605 shares of Common Stock as an equity award. These are restricted stock units that vest on May 28, 2027, and increase his directly held Broadwind shares to 117,663.

How many Broadwind (BWEN) shares were granted to the director?

The director was granted 13,605 shares of Broadwind Common Stock as an equity award. These shares are structured as restricted stock units, vesting on May 28, 2027, and are reported at a price of $3.675 per share in the filing.

Is the Broadwind (BWEN) Form 4 transaction an open-market buy or a stock award?

The Form 4 transaction is a stock award, not an open-market purchase. It is coded as a grant or other acquisition, representing 13,605 restricted stock units that vest on May 28, 2027, as part of the director’s equity compensation.

When do the reported Broadwind (BWEN) restricted stock units vest?

The 13,605 restricted stock units reported for Broadwind director Shivaram Sachin M vest on May 28, 2027. Until vesting, they remain subject to the award’s conditions, after which they convert into shares of Broadwind Common Stock if those conditions are satisfied.

How many Broadwind (BWEN) shares does the director hold after this Form 4?

Following this equity grant, the director directly holds 117,663 shares of Broadwind Common Stock. This figure includes the 13,605 restricted stock units that vest on May 28, 2027, as described in the Form 4 and accompanying footnote.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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^*

Shivaram Sachin M

(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)

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

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		13,605	A	$3.675	117,663⁽¹⁾	D

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 13,605 restricted stock units that vest on 5/28/27.

	/s/ Thomas A. Ciccone as Attorney-in-Fact for Sachin M. Shivaram pursuant to Power of Attorney previously filed	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