Broadwind (BWEN) president receives 8,231-share stock grant and updates holdings

Rhea-AI Filing Summary

Mayo Gilbert W. Jr. reported acquisition or exercise transactions in this Form 4 filing.

BROADWIND, INC. executive Gilbert W. Mayo Jr., President of Broadwind Industrial Solutions, reported a compensation-related stock grant and updated holdings. He received 8,231 shares of common stock as a grant at $3.675 per share, increasing his direct ownership to 125,090 shares.

He also reports 26,780 shares held indirectly through a 401(k) plan. The direct total includes restricted stock units: 3,635 RSUs that vest into 3,635 shares on 5/16/27, 8,238 RSUs that vest into 4,119 shares on each of 5/15/27 and 5/15/28, and 8,231 RSUs that vest into 2,743 shares on 5/28/27 and 2,744 shares on each of 5/28/28 and 5/28/29. This is a grant/award, not an open-market purchase.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Mayo Gilbert W. Jr.

Role Pres., Broadwind Ind. Solution

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	8,231	$3.675	$30K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 125,090 shares (Direct, null); Common Stock — 26,780 shares (Indirect, By 401(k) Plan)

Footnotes (1)

1. [object Object]

Key Figures

Stock grant: 8,231 shares Grant price: $3.675 per share Direct holdings after grant: 125,090 shares +4 more

7 metrics

Stock grant 8,231 shares Common stock grant to Gilbert W. Mayo Jr.

Grant price $3.675 per share Price for 8,231-share stock grant

Direct holdings after grant 125,090 shares Common stock held directly after transaction

Indirect 401(k) holdings 26,780 shares Common stock held indirectly via 401(k) plan

RSUs vesting 5/16/27 3,635 RSUs Vest into 3,635 shares on 5/16/27

RSUs vesting 5/15/27 & 5/15/28 8,238 RSUs Vest into 4,119 shares on each 5/15/27 and 5/15/28

RSUs vesting 5/28/27-5/28/29 8,231 RSUs Vest into 2,743 shares on 5/28/27 and 2,744 on 5/28/28, 5/28/29

Key Terms

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

3 terms

restricted stock units financial

"Includes 3,635 restricted stock units that vest 3,635 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

"Indirect ownership of 26,780 common shares is reported as 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 A is described as Grant, award, or other acquisition"

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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^*

Mayo Gilbert W. Jr.

(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)
	Pres., Broadwind Ind. Solution

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	05/28/2026		A		8,231	A	$3.675	125,090(1)	D
Common Stock								26,780	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. Includes (i) 3,635 restricted stock units that vest 3,635 shares on 5/16/27; (ii) 8,238 restricted stock units that vest 4,119 shares on each of 5/15/27 and 5/15/28; and iii) 8,231 restricted stock units that vest 2,743 shares on 5/28/27 and 2,744 shares on each of 5/28/28 and 5/28/29.

	/s/ Thomas A. Ciccone as Attorney-in-Fact for Gilbert W. Mayo, Jr. 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)

FAQ

What did Broadwind (BWEN) executive Gilbert Mayo report in this Form 4?

Gilbert W. Mayo Jr. reported receiving a stock grant and updated his holdings. The filing shows a compensation-related award of 8,231 Broadwind common shares and refreshed totals for both his direct and indirect ownership positions, including shares held through a 401(k) plan.

How many Broadwind (BWEN) shares were granted to Gilbert Mayo and at what price?

He was granted 8,231 shares of Broadwind common stock at $3.675 per share. This award is classified as a grant, award, or other acquisition, meaning it is part of his compensation, not an open-market stock purchase on an exchange.

What are Gilbert Mayo’s Broadwind (BWEN) share holdings after this transaction?

After the transaction, he holds 125,090 Broadwind common shares directly and 26,780 shares indirectly through a 401(k) plan. The direct total also reflects restricted stock units that will convert into shares on specified future vesting dates disclosed in the filing footnote.

Are the Broadwind (BWEN) shares in this Form 4 an open-market buy or a compensation grant?

The 8,231 Broadwind shares are a compensation grant, not an open-market purchase. The transaction code is “A,” described as a grant, award, or other acquisition, indicating the shares were received as part of Mayo’s compensation package rather than bought on the open market.

What restricted stock units (RSUs) does Gilbert Mayo hold in Broadwind (BWEN)?

He holds 3,635 RSUs vesting into 3,635 shares on 5/16/27, 8,238 RSUs vesting into 4,119 shares on 5/15/27 and 4,119 on 5/15/28, and 8,231 RSUs vesting into 2,743 shares on 5/28/27 and 2,744 shares on 5/28/28 and 5/28/29.

How are Gilbert Mayo’s indirect Broadwind (BWEN) shares held?

His indirect Broadwind holdings consist of 26,780 common shares held through a 401(k) plan. The filing classifies these shares as indirectly owned, reflecting that they are part of a retirement plan account rather than directly registered in his personal name.