Broadwind (NASDAQ: BWEN) CFO granted 16,289 shares in stock award filing

Q: Is the BWEN Form 4 transaction an insider buy or a stock grant?

The Form 4 shows a stock grant , coded as a grant, award, or other acquisition, rather than an open-market insider purchase. Ciccone received 16,289 shares at $4.65 per share as part of his compensation package.

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Ciccone Thomas A reported acquisition or exercise transactions in this Form 4 filing.

BROADWIND, INC. VP and CFO Thomas A. Ciccone reported a compensation-related equity grant rather than an open-market trade. He received 16,289 shares of common stock at $4.65 per share as a grant or award, increasing his direct holdings to 128,211 shares.

He also reports indirect ownership of 21,546.4 shares held through a 401(k) plan. A related footnote shows multiple blocks of restricted stock units that are scheduled to vest in stages between 2027 and 2031, further tying his compensation to the company’s long-term performance.

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	16,289	$4.65	$76K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 128,211 shares (Direct, null); Common Stock — 21,546.4 shares (Indirect, By 401(k) Plan)

Footnotes (1)

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Key Figures

Stock grant: 16,289 shares at $4.65 Direct holdings after grant: 128,211 shares Indirect 401(k) holdings: 21,546.4 shares +2 more

5 metrics

Stock grant 16,289 shares at $4.65 Common Stock grant to VP and CFO on 2026-07-01

Direct holdings after grant 128,211 shares Common Stock directly owned by Ciccone after transaction

Indirect 401(k) holdings 21,546.4 shares Common Stock held indirectly via 401(k) Plan

RSUs vesting 2027 6,564 RSUs Vest 6,564 shares on 5/16/27

RSU block including new grant 16,289 RSUs Vest 3,257 shares on 7/1/27 and 3,258 shares annually through 7/1/31

Key Terms

restricted stock units, 401(k) Plan, grant, award, or other acquisition, indirect ownership

4 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"

indirect ownership financial

"ownership_type: indirect, nature_of_ownership: By 401(k) Plan"

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/06/2026 - 03:31 PM Accepted by SEC EDGAR 07/06/2026 - 03:31 PM

FAQ

What did BWEN VP and CFO Thomas Ciccone report on this Form 4?

Thomas Ciccone reported receiving 16,289 shares of Broadwind common stock as a grant at $4.65 per share. This is a compensation-related award, not an open-market purchase, and increased his directly held share count to 128,211.

Is the BWEN Form 4 transaction an insider buy or a stock grant?

The Form 4 shows a stock grant, coded as a grant, award, or other acquisition, rather than an open-market insider purchase. Ciccone received 16,289 shares at $4.65 per share as part of his compensation package.

How many BWEN shares does Thomas Ciccone hold after the reported grant?

After the grant, Thomas Ciccone directly holds 128,211 Broadwind common shares. He also has 21,546.4 shares reported as indirectly owned through a 401(k) plan, giving him both direct and retirement-plan exposure to the stock.

What role do restricted stock units play in Ciccone’s BWEN compensation?

Ciccone’s compensation includes several blocks of restricted stock units that vest between 2027 and 2031. These units convert into shares over time, linking a portion of his pay to Broadwind’s long-term performance and his continued service.

Does the BWEN Form 4 indicate any insider selling by Thomas Ciccone?

The Form 4 does not report any insider selling by Thomas Ciccone. It shows a grant of 16,289 shares as compensation and an update to his holdings, including shares held indirectly through a 401(k) plan.

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)
07/01/2026

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	07/01/2026		A		16,289	A	$4.65	128,211⁽¹⁾	D
Common Stock								21,546.4	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; (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; and (iv) 16,289 restricted stock units that vest 3,257 shares on 7/1/27 and 3,258 shares on each of 7/1/28, 7/1/29, 7/1/30 and 7/1/31.

	/s/ Thomas A. Ciccone	07/06/2026
	** 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