BROADWIND, INC. — Director's Dealing 2021

Sep 21, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND, INC. (BWEN)
CIK: 0001120370
Period of Report: 2021-09-17

Reporting Person: KUSHNER STEPHANIE K (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-09-17	Common Stock	S	7500	$2.9083	Disposed	335806	Direct
2021-09-20	Common Stock	S	7500	$2.8815	Disposed	328306	Direct

Footnotes

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 $2.88 to $2.94; the price reported above reflects the weighted average sales 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 $2.85 to $2.91; the price reported above reflects the weighted average sales 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.