KUSHNER STEPHANIE K - 18 Oct 2021 Form 4 Insider Report for BROADWIND, INC. (BWEN)

Role
Director
Signature
/s/ Thomas A. Ciccone, as Attorney-in-Fact for Stephanie K. Kushner pursuant to Power of Attorney previously filed
Issuer symbol
BWEN
Transactions as of
18 Oct 2021
Transactions value $
-$45,972
Form type
4
Filing time
20 Oct 2021, 16:58:42 UTC
Previous filing
21 Sep 2021
Next filing
18 Nov 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BWEN Common Stock Sale -$23,178 -7,500 -2.3% $3.09 320,806 18 Oct 2021 Direct F1, F2
transaction BWEN Common Stock Sale -$22,794 -7,500 -2.3% $3.04 313,306 19 Oct 2021 Direct F1, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person on March 15, 2021 in accordance with Rule 10B5-1 of the Securities Exchange Act of 1934, as amended.
F2 This transaction was executed in multiple trades at prices ranging from $3.06 to $3.115; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, the Company, or a security holder of the Company.
F3 This transaction was executed in multiple trades at prices ranging from $2.96 to $3.125; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC, the Company, or a security holder of the Company.
F4 Includes (i) 32,134 restricted stock units that vest on 4/23/22; and (ii) 9,336 restricted stock units that vest on 5/1/22.

Remarks:

** Intentional misstatements 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.