Broadwind executive awarded 8,348 BWEN shares

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

Rhea-AI Filing Summary

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

BROADWIND, INC. executive Mayo Gilbert W. Jr., President of Broadwind Industrial Solutions, reported a stock-based compensation grant. He received 8,348 shares of common stock at $4.65 per share as a grant or award, increasing his direct holdings to 133,438 shares.

He also reports 27,144 shares held indirectly through a 401(k) plan. In addition, he holds several restricted stock unit awards, including 3,635 units that vest into 3,635 shares on May 16, 2027 and 8,348 units that vest in installments from July 1, 2027 through July 1, 2031.

Insider Trade Summary

Grant/Award: 8,348 shares

Grant/Award 2 txns

Insider Mayo Gilbert W. Jr.

Role Pres., Broadwind Ind. Solution

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	8,348	$4.65	$39K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 133,438 shares (Direct); Common Stock — 27,144 shares (Indirect, By 401(k) Plan)

Footnotes (1)

1. F1. 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; (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; and (iv) 8,348 restricted stock units that vest 1,669 shares on each of 7/1/27 and 7/1/28 and 1,670 shares on each of 7/1/29, 7/1/30 and 7/1/31.

Key Figures

Stock grant: 8,348 shares at $4.65 Direct holdings after grant: 133,438 shares Indirect 401(k) holdings: 27,144 shares +2 more

5 metrics

Stock grant 8,348 shares at $4.65 Common stock grant coded A on July 1, 2026

Direct holdings after grant 133,438 shares Common stock directly owned following the transaction

Indirect 401(k) holdings 27,144 shares Common stock held indirectly through a 401(k) plan

RSUs vesting 2027 3,635 RSUs Vest into 3,635 shares on May 16, 2027

Multi-year RSU grant 8,348 RSUs Vest in tranches from July 1, 2027 to July 1, 2031

Key Terms

restricted stock units, 401(k) Plan, grant/award acquisition, Common Stock

4 terms

restricted stock units financial

"Includes (i) 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

"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 acquisition financial

"transaction_action: grant/award acquisition, transaction_code_description: Grant, award, or other acquisition"

Common Stock financial

"security_title: Common Stock"

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.

FAQ

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

What did Mayo Gilbert W. Jr. report in Broadwind (BWEN) Form 4?

Mayo Gilbert W. Jr. reported receiving a grant of 8,348 shares of Broadwind common stock at $4.65 per share. This grant is compensation, not an open-market purchase, and increased his directly held shares to 133,438, according to the Form 4 disclosure.

How many Broadwind (BWEN) shares does Mayo Gilbert W. Jr. hold after this Form 4?

After the reported grant, Mayo Gilbert W. Jr. directly holds 133,438 Broadwind common shares. He also has 27,144 additional shares held indirectly through a 401(k) plan, plus multiple restricted stock unit awards scheduled to vest between 2027 and 2031.

Was the Broadwind (BWEN) Form 4 transaction an open-market buy or sell?

The primary Form 4 transaction was a grant or award acquisition of 8,348 Broadwind shares at $4.65, coded “A.” It reflects stock-based compensation rather than an open-market buy or sell, so it is generally viewed as a routine compensation event.

What restricted stock units does Mayo Gilbert W. Jr. hold in Broadwind (BWEN)?

He holds several restricted stock unit awards, including 3,635 units vesting into 3,635 shares on May 16, 2027 and 8,348 units vesting in installments from July 1, 2027 through July 1, 2031, providing future share deliveries if vesting conditions are met.

How are some of Mayo Gilbert W. Jr.’s Broadwind (BWEN) shares held?

Beyond directly held shares, 27,144 Broadwind shares are reported as held indirectly through a 401(k) plan. This indicates those shares are owned within a retirement account structure rather than in a standard brokerage or direct registration account.

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

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Accepted by SEC EDGAR 07/06/2026 - 03:31 PM EDT Learn about SEC filing dates

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)
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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	07/01/2026		A		8,348	A	$4.65	133,438(1)	D
Common Stock								27,144	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; (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; and (iv) 8,348 restricted stock units that vest 1,669 shares on each of 7/1/27 and 7/1/28 and 1,670 shares on each of 7/1/29, 7/1/30 and 7/1/31.

	/s/ Thomas A. Ciccone as Attorney-in-Fact for Gilbert W. Mayo, Jr. pursuant to Power of Attorney previously filed	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)