David P. Reiland - May 17, 2021 Form 4 Insider Report for BROADWIND, INC. (BWEN)

Role
Director
Signature
/s/ Thomas A. Ciccone as Attorney-in-Fact for David P. Reiland pursuant to Power of Attorney previously filed
Stock symbol
BWEN
Transactions as of
May 17, 2021
Transactions value $
-$34,276
Form type
4
Date filed
5/19/2021, 11:21 AM
Previous filing
May 11, 2021
Next filing
Apr 27, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BWEN Common Stock Sale -$17.3K -4K -2.9% $4.32 134K May 17, 2021 Direct
transaction BWEN Common Stock Sale -$15.3K -3.6K -2.68% $4.25 131K May 18, 2021 Direct
transaction BWEN Common Stock Sale -$1.7K -400 -0.31% $4.24 130K May 18, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding BWEN Phantom Stock 8.4K May 17, 2021 Common Stock 8.4K Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 9,336 restricted stock units that vest on 5/1/22.
F2 Each share of phantom stock is the economic equivalent of one share of Broadwind, Inc. common stock.
F3 Phantom stock credited to participant's account in 2009, 2011 and 2016 pursuant to and under the conditions of the Broadwind Energy, Inc. Deferred Compensation Plan. The value of the participant's account shall be paid to the participant in a single lump-sum payment, in cash, on the earliest of the participant's separation from service, death or change-in-control.