BWEN Pengajuan SEC - Broadwind, Inc.- Laporan Tahunan, Pernyataan Kuasa, Prospektus

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CIK	1120370

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Broadwind, Inc.

SEC Filings (Chronological Order)

Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.

August 12, 2025	EX-10.3	Asset Purchase Agreement, dated as of June 4, 2025, by and between Broadwind Heavy Fabrications, Inc. and Wisconsin Heavy Fabrication, LLC** EXHIBIT 10.3 ASSET PURCHASE AGREEMENT This ASSET PURCHASE AGREEMENT, dated as of June 4, 2025 (this “Agreement”), is by and among Broadwind Heavy Fabrications, Inc., a Wisconsin corporation (the “Seller” or the “Company”) and Wisconsin Heavy Fabrication, LLC, a Delaware limited liability company (the “Buyer”). Each of the Seller and the Buyer are referred to herein individually as a “Party”, and c
August 12, 2025	EX-99.1	Broadwind Announces Second Quarter 2025 Results EXHIBIT 99.1 Broadwind Announces Second Quarter 2025 Results CICERO, Ill., Aug. 12, 2025 (GLOBE NEWSWIRE) - Broadwind (Nasdaq: BWEN, or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the second quarter 2025. SECOND QUARTER 2025 RESULTS Total revenue of $39.2 million, +7.6% y/y Net loss of ($1.0) milli
August 12, 2025	EX-99.2	1 Broadwind \| Investor Presentation 2023 Second Quarter 2025 Conference Call Presentation August 12, 2025 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements related EXHIBIT 99.2 1 Broadwind \| Investor Presentation 2023 Second Quarter 2025 Conference Call Presentation August 12, 2025 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current e
August 12, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2025 BROADWIND, INC. ( UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2025 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Nu
August 12, 2025	EX-10.4	Sublease Agreement, dated as of June 4, 2025, by and between Wisconsin Heavy Fabrication, LLC and Broadwind Heavy Fabrications, Inc.** EXHIBIT 10.4 SUBLEASE AGREEMENT This Sublease Agreement ("Sublease"), dated as of June 4, 2025 (the "Effective Date"), is entered into between Wisconsin Heavy Fabrication, LLC a Delaware limited liability company ("Sublandlord") and Broadwind Heavy Fabrications, Inc., a Wisconsin corporation ("Subtenant" and, together with Sublandlord, collectively referred herein as the "Parties" or individually
August 12, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34278 BROA
June 5, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 4, 2025 BROADWIND, INC. (Exa UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 4, 2025 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Numbe
June 5, 2025	EX-99.1	Broadwind Announces Sale of Industrial Fabrication Operations in Manitowoc, Wisconsin Divestiture of the Manitowoc, WI facility optimizes asset base and improves operating leverage Further diversifies BWEN’s business toward higher-margin precision ma EXHIBIT 99.1 Broadwind Announces Sale of Industrial Fabrication Operations in Manitowoc, Wisconsin Divestiture of the Manitowoc, WI facility optimizes asset base and improves operating leverage Further diversifies BWEN’s business toward higher-margin precision manufacturing segments Significantly enhances liquidity, while reducing net leverage and supporting capital deployment priorities CICERO, I
May 30, 2025	EX-1.01	Exhibit 1.01 - Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. Exhibit 1.01 Broadwind, Inc. Conflict Minerals Report For The Year Ended December 31, 2024 This report for the year ended December 31, 2024 (the “Reporting Period”) has been prepared by the management of Broadwind, Inc. (herein referred to as the “Company,” “we,” “us,” or “our”) and is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule
May 30, 2025	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.) 3240 South Central Avenue, Cicero, Illinois 60804 (Address of Principal Executive O
May 19, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 15, 2025 BROADWIND, INC. (Exa UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 15, 2025 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Numbe
May 16, 2025	S-8	As filed with the Securities and Exchange Commission on May 16, 2025 As filed with the Securities and Exchange Commission on May 16, 2025 Registration No.
May 16, 2025	EX-FILING FEES	Calculation of Filing Fees Tables Exhibit 107.1 Table 1: Newly Registered Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, par value $0.001 per share (including Series A Junior Participating Preferred Share Purchase Rights) 457(c) and 457(h) 750,000 (1) (2) $1.63(3) $1,222,500.
May 13, 2025	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2025 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Numbe
May 13, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34278 BRO
May 13, 2025	EX-99.1	Broadwind Announces First Quarter 2025 Results EXHIBIT 99.1 Broadwind Announces First Quarter 2025 Results CICERO, Ill., May 13, 2025 (GLOBE NEWSWIRE) - Broadwind (Nasdaq: BWEN, or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the first quarter 2025. FIRST QUARTER 2025 RESULTS Total revenue of $36.8 million Net loss of ($0.4) million, or ($0.02)
May 13, 2025	EX-99.2	1 Broadwind \| Investor Presentation 2023 First Quarter 2025 Conference Call Presentation May 13, 2025 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements related to EX-99.2 3 exh992.htm EXHIBIT 99.2 Exhibit 99.2 1 Broadwind \| Investor Presentation 2023 First Quarter 2025 Conference Call Presentation May 13, 2025 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 E of the Securities Exchange Act of 1934 , as amend
May 6, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No .) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No .) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a‑6(e)(2)) ☐ Defin
April 2, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)
April 2, 2025	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Table of contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a
March 18, 2025	PRE 14A	PRELIMINARY PROXY STATEMENT - SUBJECT TO COMPLETION DATED MARCH 18, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment Table of contents PRELIMINARY PROXY STATEMENT - SUBJECT TO COMPLETION DATED MARCH 18, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 5, 2025	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 5, 2025 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Numb
March 5, 2025	EX-99.1	Broadwind Announces Fourth Quarter and Full-Year 2024 Results EXHIBIT 99.1 Broadwind Announces Fourth Quarter and Full-Year 2024 Results CICERO, Ill., March 05, 2025 (GLOBE NEWSWIRE) - Broadwind (Nasdaq: BWEN, or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the fourth quarter and full-year 2024. FOURTH QUARTER 2024 RESULTS Total revenue of $33.6 million Net lo
March 5, 2025	EX-19	Insider Trading Policy (filed herewith) EXHIBIT 19 Policy Statement on Inside Information and Securities Trading (Amended and Restated as of August 9, 2023) BROADWIND, INC.
March 5, 2025	EX-21	Subsidiaries of the Registrant (filed herewith) EXHIBIT 21 Subsidiaries of the Registrant Subsidiaries State of Incorporation/Formation Brad Foote Gear Works, Inc. Illinois Broadwind Heavy Fabrications, Inc. Wisconsin Broadwind Industrial Solutions, LLC North Carolina
March 5, 2025	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ********////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////// UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 5, 2025	EX-99.2	Investor Presentation dated March 5, 2025 EXHIBIT 99.2
February 6, 2025	EX-4.1	Fourth Amendment to Section 382 Rights Agreement dated as of February 4, 2025 between the Company and Equiniti Trust Company, as rights agent (incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K filed February 6, 2025) EXHIBIT 4.1 FOURTH AMENDMENT TO SECTION 382 RIGHTS AGREEMENT THIS FOURTH AMENDMENT TO SECTION 382 RIGHTS AGREEMENT (this “Amendment”) is made and entered into as of February 4, 2025, by and between Broadwind, Inc., a Delaware corporation (the “Company”), and Equiniti Trust Company, formerly Wells Fargo, National Association, as rights agent (the “Rights Agent”). WHEREAS, the Company and the Rights
February 6, 2025	8-A12B/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A/A (Amendment No. 4) FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 BROADWIND, INC. (Exact Name UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A/A (Amendment No. 4) FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 88-0409160 (State or Other Jurisdiction of Incorporation) (IRS Employer Identification No.) 3240
February 6, 2025	8-K	Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 4, 2025 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File N
January 30, 2025	EX-10.1	Tax Credit Transfer Agreement, dated as of January 8, 2025, by and between Broadwind Heavy Fabrications Inc. and MarketAxess Holdings, Inc. (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed January 30, 2025) EXHIBIT 10.1 TAX CREDIT TRANSFER AGREEMENT COVER SHEET This TAX CREDIT TRANSFER AGREEMENT (including this Cover Sheet, the Terms and Conditions, and any annexes, exhibits, schedules and supplements attached hereto, this “Agreement”) is made as of January 28, 2025 (the “Effective Date”) by and between the parties identified below (the “Parties”). The Parties to this Agreement are: Buyer: MarketAxes
January 30, 2025	EX-10.2	Guaranty, dated as of January 8, 2025, by and between Broadwind Inc. and MarketAxess Holdings Inc. (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed January 30, 2025) EXHIBIT 10.2 GUARANTY This GUARANTY dated as of January 28, 2025 (this “Guaranty”) is made by BROADWIND, INC., a Delaware corporation (“Guarantor”), in favor and for the benefit of MARKETAXESS HOLDINGS INC., a Delaware corporation (“Beneficiary”), in connection with that certain Tax Credit Transfer Agreement dated as of January 28, 2025 (the “Purchase Agreement”), by and between BROADWIND HEAVY FA
January 30, 2025	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 28, 2025 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File N
December 23, 2024	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 19, 2024 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File
December 23, 2024	EX-10.1	Amendment No. 2 to Credit Agreement, dated as of December 19, 2024, by and among Broadwind, Inc., Brad Foote Gear Works, Inc., Broadwind Industrial Solutions, LLC, Broadwind Heavy Fabrications, Inc., 5100 Neville Road, LLC and Wells Fargo Bank, National Association. Exhibit 10.1 AMENDMENT NO. 2 TO CREDIT AGREEMENT This Amendment No. 2 to Credit Agreement dated as of December 19, 2024 (the “Agreement”) is among WELLS FARGO BANK, NATIONAL ASSOCIATION, as Lender (the “Lender”), BROADWIND, INC., a Delaware corporation (“Company”) and certain Subsidiaries of the Company from time to time party to the Credit Agreement as Borrowers (together with Company, “Borrowers
November 13, 2024	EX-99.1	Broadwind Announces Third Quarter 2024 Results EXHIBIT 99.1 Broadwind Announces Third Quarter 2024 Results CICERO, Ill., Nov. 13, 2024 (GLOBE NEWSWIRE) - Broadwind (Nasdaq: BWEN, or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the third quarter 2024. THIRD QUARTER 2024 RESULTS Total revenue of $35.5 million Net income of $0.1 million Total non-G
November 13, 2024	EX-99.2	1 Broadwind \| Investor Presentation 2023 Third Quarter 2024 Conference Call Presentation November 13, 2024 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements relate Exhibit 99.2 1 Broadwind \| Investor Presentation 2023 Third Quarter 2024 Conference Call Presentation November 13, 2024 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current
November 13, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34278
November 13, 2024	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2024 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File
October 24, 2024	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 23, 2024 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File N
August 30, 2024	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a
August 15, 2024	PRE 14A	PRELIMINARY PROXY STATEMENT - SUBJECT TO COMPLETION DATED AUGUST 15, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment Table of Contents PRELIMINARY PROXY STATEMENT - SUBJECT TO COMPLETION DATED AUGUST 15, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 13, 2024	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2024 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Nu
August 13, 2024	EX-99.2	1 Broadwind \| Investor Presentation 2023 Second Quarter 2024 Conference Call Presentation August 13, 2024 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements related Exhibit 99.2 1 Broadwind \| Investor Presentation 2023 Second Quarter 2024 Conference Call Presentation August 13, 2024 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current e
August 13, 2024	EX-99.1	Broadwind Announces Second Quarter 2024 Results EXHIBIT 99.1 Broadwind Announces Second Quarter 2024 Results CICERO, Ill., Aug. 13, 2024 (GLOBE NEWSWIRE) - Broadwind (Nasdaq: BWEN, or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the second quarter 2024. SECOND QUARTER 2024 RESULTS Total revenue of $36.5 million Net income of $0.5 million, or $0.0
August 13, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34278 BROA
May 31, 2024	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.) 3240 South Central Avenue, Cicero, Illinois 60804 (Address of Principal Executive O
May 31, 2024	EX-1.01	Exhibit 1.01 - Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. Exhibit 1.01 Broadwind, Inc. Conflict Minerals Report For The Year Ended December 31, 2023 This report for the year ended December 31, 2023 has been prepared by the management of Broadwind, Inc. (herein referred to as the “Company,” “we,” “us,” or “our”) and is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule imposes certain reporting
May 20, 2024	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K -12-31 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 16, 2024 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission Fil
May 17, 2024	EX-FILING FEES	Calculation of Filing Fees Tables Exhibit 107.1 Table 1: Newly Registered Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, par value $0.001 per share (including Series A Junior Participating Preferred Share Purchase Rights) 457(c) and 457(h) 600,000 (1) (2) $2.19(3) $1,314,000
May 17, 2024	S-8	As filed with the Securities and Exchange Commission on May 17, 2024 As filed with the Securities and Exchange Commission on May 17, 2024 Registration No.
May 17, 2024	EX-4.4	Certificate of Amendment to the Certificate of Incorporation of the Company (incorporated by reference to Exhibit 4.4 to the Company’s Registration Statement on Form S-8 filed May 17, 2024) EXHIBIT 4.4 CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF BROADWIND, INC. The undersigned officer of Broadwind, Inc. (the “Corporation”), a corporation organized and existing under and by virtue of the Delaware General Corporation Law (the “DGCL”), does hereby certify as follows: FIRST: The name of the Corporation is Broadwind, Inc. SECOND: Section 4.01 of ARTICLE IV of the Certi
May 14, 2024	EX-99.2	1 Broadwind \| Investor Presentation 2023 First Quarter 2024 Conference Call Presentation May 14, 2024 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements related to Exhibit 99.2 1 Broadwind \| Investor Presentation 2023 First Quarter 2024 Conference Call Presentation May 14, 2024 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current expec
May 14, 2024	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2024 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Numbe
May 14, 2024	EX-99.1	Broadwind Announces First Quarter 2024 Results EXHIBIT 99.1 Broadwind Announces First Quarter 2024 Results CICERO, Ill., May 14, 2024 (GLOBE NEWSWIRE) - Broadwind (Nasdaq: BWEN, or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the first quarter 2024. FIRST QUARTER 2024 RESULTS Total revenue of $37.6 million Net income of $1.5 million, or $0.07 pe
May 14, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34278 BRO
April 2, 2024	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Table of contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a
March 19, 2024	PRE 14A	PRELIMINARY PROXY STATEMENT - SUBJECT TO COMPLETION DATED MARCH 19, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment Table of contents PRELIMINARY PROXY STATEMENT - SUBJECT TO COMPLETION DATED MARCH 19, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 5, 2024	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ********////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////// UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 5, 2024	EX-99.1	Broadwind Announces Fourth Quarter and Full-Year 2023 Results EXHIBIT 99.1 Broadwind Announces Fourth Quarter and Full-Year 2023 Results CICERO, Ill., March 05, 2024 (GLOBE NEWSWIRE) - Broadwind (Nasdaq: BWEN, or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the fourth quarter and full-year 2023. FOURTH QUARTER 2023 RESULTS (As compared to the fourth quarter 20
March 5, 2024	EX-21	Subsidiaries of the Registrant (filed herewith) EXHIBIT 21 Subsidiaries of the Registrant Subsidiaries State of Incorporation/Formation Brad Foote Gear Works, Inc. Illinois Broadwind Services, LLC Delaware Broadwind Heavy Fabrications, Inc. Wisconsin Broadwind Industrial Solutions, LLC North Carolina
March 5, 2024	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 5, 2024 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Numb
March 5, 2024	EX-99.2	1 Broadwind \| Investor Presentation 2023 Fourth Quarter & Full - Year 2023 Conference Call Presentation March 5, 2024 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward - looking statements” — that is, stat EXHIBIT 99.2 1 Broadwind \| Investor Presentation 2023 Fourth Quarter & Full - Year 2023 Conference Call Presentation March 5, 2024 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward - looking statements” — that is, statements related to future, not past, events — as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, (the “Exchan
March 5, 2024	EX-97	Broadwind, Inc. Policy on Recoupment of Incentive-Based Compensation (filed herewith) Exhibit 97 BROADWIND, INC. POLICY ON RECOUPMENT OF INCENTIVE-BASED COMPENSATION (Effective August 9, 2023) Introduction The Board of Directors (the “Board”) of Broadwind, Inc. (the “Company”) believes that it is in the best interests of the Company and its stockholders to create and maintain a culture that emphasizes integrity and accountability and that reinforces the Company’s pay-for-performanc
February 9, 2024	SC 13G/A	BWEN / Broadwind, Inc. / PRINCIPAL FINANCIAL GROUP INC - 13G/A BROADWIND, INC. AMDT 2 123123 Passive Investment SC 13G/A 1 a13gabroadwindincamdt21231.htm 13G/A BROADWIND, INC. AMDT 2 123123 CUSIP No. 11161T207 13G/A Page 1 of 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2) * Broadwind, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 11161T207 (CUSIP Number) Decemb
December 27, 2023	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 21, 2023 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File
December 27, 2023	EX-10.2	Guaranty, dated as of December 21, 2023, by and between Broadwind, Inc. and MarketAxess Holdings Inc. (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed December 27, 2023) EXHIBIT 10.2 GUARANTY This GUARANTY dated as of December 21, 2023 (this “Guaranty”) is made by BROADWIND, INC., a Delaware corporation (“Guarantor”), in favor and for the benefit of MARKETAXESS HOLDINGS INC., a Delaware corporation (“Beneficiary”), in connection with that certain Tax Credit Transfer Agreement dated as of December 21, 2023 (the “Purchase Agreement”), by and between BROADWIND HEAVY
December 27, 2023	EX-99.1	BROADWIND ANNOUNCES AGREEMENT TO SELL APPROXIMATELY $15 MILLION OF IRA ADVANCED MANUFACTURING TAX CREDITS EXHIBIT 99.1 BROADWIND ANNOUNCES AGREEMENT TO SELL APPROXIMATELY $15 MILLION OF IRA ADVANCED MANUFACTURING TAX CREDITS Cicero, Ill., December 27, 2023 — Broadwind (Nasdaq: BWEN), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced that it has entered into a definitive Tax Credit Transfer Agreement (the “Agreement) with MarketAxess Ho
December 27, 2023	EX-10.1	Tax Credit Transfer Agreement, dated as of December 21, 2023, by and between Broadwind Heavy Fabrications Inc. and MarketAxess Holding Inc. (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed December 27, 2023) EXHIBIT 10.1 TAX CREDIT TRANSFER AGREEMENT COVER SHEET This TAX CREDIT TRANSFER AGREEMENT (including this Cover Sheet, the Terms and Conditions, and any annexes, exhibits, schedules and supplements attached hereto, this “Agreement”) is made as of December 21, 2023 (the “Effective Date”) by and between the parties identified below (the “Parties”). The Parties to this Agreement are: Buyer: MarketAxe
November 13, 2023	EX-99.2	1 Broadwind \| Investor Presentation 2023 Third Quarter 2023 Conference Call Presentation November 13, 2023 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements relate Exhibit 99.2 1 Broadwind \| Investor Presentation 2023 Third Quarter 2023 Conference Call Presentation November 13, 2023 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current
November 13, 2023	EX-99.1	Broadwind Announces Third Quarter 2023 Results EXHIBIT 99.1 Broadwind Announces Third Quarter 2023 Results CICERO, Ill., Nov. 13, 2023 (GLOBE NEWSWIRE) - Broadwind, Inc. (Nasdaq: BWEN, “Broadwind” or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the third quarter 2023. THIRD QUARTER 2023 RESULTS (As compared to the third quarter 2022) Revenue of
November 13, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2023 BROADWIND, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2023 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File
November 13, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34278
October 10, 2023	CORRESP	Broadwind, Inc. 3240 South Central Avenue Cicero, Illinois 60804 October 10, 2023 Broadwind, Inc. 3240 South Central Avenue Cicero, Illinois 60804 October 10, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attn: Gregory Herbers Re: Broadwind, Inc. Registration Statement on Form S-3 File No. 333-274644 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amende
September 22, 2023	EX-FILING FEES	Filing Fee Table EXHIBIT 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Broadwind, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit (3) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, par value $0.001 per sha
September 22, 2023	S-3	As filed with the Securities and Exchange Commission on September 22, 2023 Table of Contents As filed with the Securities and Exchange Commission on September 22, 2023 Registration No.
August 14, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34278 BROA
August 14, 2023	EX-99.1	Broadwind Announces Second Quarter 2023 Results EXHIBIT 99.1 Broadwind Announces Second Quarter 2023 Results CICERO, Ill., Aug. 14, 2023 (GLOBE NEWSWIRE) - Broadwind, Inc. (Nasdaq: BWEN, “Broadwind” or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the second quarter 2023. SECOND QUARTER 2023 RESULTS (As compared to the second quarter 2022) Revenue
August 14, 2023	EX-99.2	1 Broadwind \| Investor Presentation 2023 Second Quarter 2023 Conference Call Presentation August 14, 2023 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements related Exhibit 99.2 1 Broadwind \| Investor Presentation 2023 Second Quarter 2023 Conference Call Presentation August 14, 2023 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current e
August 14, 2023	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2023 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Nu
June 28, 2023	EX-3.1	Fourth Amended and Restated Bylaws of the Company, adopted as of June 26, 2023 (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed June 28, 2023) EXHIBIT 3.1 FOURTH AMENDED AND RESTATED BYLAWS OF BROADWIND, INC. Adopted as of June 26, 2023 Table of Contents BROADWIND, INC. FOURTH AMENDED AND RESTATED BYLAWS TABLE OF CONTENTS Section Page ARTICLE I Stockholders 4 1.1 Annual Meeting 4 1.2 Special Meetings 4 1.3 Place of Meeting 4 1.4 Notice of Meeting 4 1.5 Adjournment 4 1.6 Conduct of Meetings 5 1.7 Fixing of Record Date 5 1.8 Quorum 6 1.9 P
June 28, 2023	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K -12-31 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 26, 2023 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission Fi
May 31, 2023	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.) 3240 South Central Avenue, Cicero, Illinois 60804 (Address of Principal Executive O
May 31, 2023	EX-1.01	Exhibit 1.01 - Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. Exhibit 1.01 Broadwind, Inc. Conflict Minerals Report For The Year Ended December 31, 2022 This report for the year ended December 31, 2022 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (the “SEC”) to implement reporting and disclosure requirements related to Conflict Mineral
May 25, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 23, 2023 BROADWIND, INC. (Exa UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 23, 2023 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Numbe
May 25, 2023	EX-FILING FEES	Calculation of Filing Fees Tables Exhibit 107.1 Table 1: Newly Registered Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, par value $0.001 per share (including Series A Junior Participating Preferred Share Purchase Rights) 457(c) and 457(h) 1,500,000 (1) (2) $4.32 (3) $6,480,0
May 25, 2023	S-8	As filed with the Securities and Exchange Commission on May 25, 2023 As filed with the Securities and Exchange Commission on May 25, 2023 Registration No.
May 15, 2023	DFAN14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☐ Filed by a party other than the registrant ☒ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of
May 15, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)
May 11, 2023	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2023 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Numbe
May 11, 2023	EX-99.1	Broadwind Announces First Quarter 2023 Results EXHIBIT 99.1 Broadwind Announces First Quarter 2023 Results CICERO, Ill., May 11, 2023 (GLOBE NEWSWIRE) - Broadwind, Inc. (Nasdaq: BWEN, “Broadwind” or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the first quarter 2023. FIRST QUARTER 2023 RESULTS (As compared to the first quarter 2022) Total revenu
May 11, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34278 BRO
May 11, 2023	EX-99.2	1 Broadwind \| Investor Presentation 2023 First Quarter 2023 Conference Call Presentation May 11, 2023 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward - looking statements” — that is, statements related t EXHIBIT 99.2 1 Broadwind \| Investor Presentation 2023 First Quarter 2023 Conference Call Presentation May 11, 2023 2 Broadwind \| Investor Presentation 2023 SAFE HARBOR STATEMENT This document contains “forward - looking statements” — that is, statements related to future, not past, events — as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current exp
May 10, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)
May 9, 2023	PX14A6G	United States Securities and Exchange Commission Washington D.C. 20549 NOTICE OF EXEMPT SOLICITATION Pursuant to Rule 14A-103 United States Securities and Exchange Commission Washington D.C. 20549 NOTICE OF EXEMPT SOLICITATION Pursuant to Rule 14A-103 Name of Registrant: Broadwind, Inc. (Nasdaq: BWEN) Name of Person Relying on Exemption: Terence P. Fox Address of Person Relying on Exemption: 205 N. 8th Street, Manitowoc, WI 54220 Written materials are submitted pursuant to Rule 14a-6(g) (1) promulgated under the Securiti
May 9, 2023	DFAN14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☐ Filed by a party other than the registrant ☒ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of
May 8, 2023	DFAN14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☐ Filed by a party other than the registrant ☒ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of
May 5, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)
May 4, 2023	EX-1	EX-1 Exhibit 1
May 4, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)
May 1, 2023	DFAN14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☐ Filed by a party other than the registrant ☒ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of
April 26, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)
April 21, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 20, 2023 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Num
April 21, 2023	EX-99.1	Broadwind Announces Preliminary First Quarter 2023 Results, Increases Full-Year 2023 Financial Guidance Broadwind to Host its First Quarter 2023 Results Conference Call on May 11, 2023 at 11:00 AM ET EXHIBIT 99.1 Broadwind Announces Preliminary First Quarter 2023 Results, Increases Full-Year 2023 Financial Guidance Broadwind to Host its First Quarter 2023 Results Conference Call on May 11, 2023 at 11:00 AM ET CICERO, Ill., April 20, 2023 (GLOBE NEWSWIRE) - Broadwind (Nasdaq: BWEN, “Broadwind” or the “Company”), a diversified precision manufacturer of specialized components and solutions servin
April 21, 2023	DFAN14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant x Check the appropriate box: o Preliminary proxy statement o Confidential, for use of
April 20, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)
April 13, 2023	DFAN14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☐ Filed by a party other than the registrant ☒ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of
April 12, 2023	DFAN14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☐ Filed by a party other than the registrant ☒ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of
April 11, 2023	DEFC14A	SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Under Rule 14a-12 Broadwind, Inc.
April 10, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)
April 7, 2023	DEFC14A	Third Amendment to Amended and Restated Broadwind, Inc. 2015 Equity Incentive Plan (incorporated by reference to Appendix B to the Company's Schedule 14A filed on April 7, 2023) Table of contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a
April 6, 2023	PRRN14A	SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.
April 5, 2023	CORRESP	* * * * * April 5, 2023 VIA EMAIL AND EDGAR David Plattner Special Counsel Office of Mergers and Acquisitions Division of Corporation Finance United States Securities and Exchange Commission 100 F Street, N.
April 5, 2023	PRER14A	PRELIMINARY PROXY STATEMENT — SUBJECT TO COMPLETION DATED APRIL 5, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment N Table of contents PRELIMINARY PROXY STATEMENT — SUBJECT TO COMPLETION DATED APRIL 5, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 31, 2023	LETTER	LETTER United States securities and exchange commission logo March 31, 2023 Patrick Gadson Partner Vinson & Elkins LLP The Grace Building 1114 Avenue of the Americas 32nd Floor New York, New York 10036 Re: BROADWIND, INC.
March 31, 2023	LETTER	LETTER United States securities and exchange commission logo March 31, 2023 John K. Tokarz Shareholder Reinhart Boerner Van Deuren s.c. 1000 N Water St, 1700 Milwaukee, WI 53202 Re: BROADWIND, INC. PREC14A filed by WM Argyle Fund, LLC et al. Filed March 21, 2023 File No. 001-34278 Dear John K. Tokarz: We have reviewed your filing and have the following comments. In some of our comments, we may ask you to
March 27, 2023	DFAN14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☐ Filed by a party other than the registrant ☒ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of
March 27, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 22, 2023 BROADWIND, INC. (E UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 22, 2023 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Num
March 27, 2023	PREC14A	PRELIMINARY PROXY STATEMENT — SUBJECT TO COMPLETION DATED MARCH 27, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment Table of contents PRELIMINARY PROXY STATEMENT — SUBJECT TO COMPLETION DATED MARCH 27, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 27, 2023	EX-99.1	Broadwind Names Jeanette Press to Board of Directors Exhibit 99.1 Broadwind Names Jeanette Press to Board of Directors Cicero, Ill., March 27, 2023 — Broadwind, Inc. (Nasdaq: BWEN, or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced the appointment of Ms. Jeanette A. Press to its Board of Directors (the “Board”), effective March 22, 2023. With the appointment of Ms.
March 27, 2023	EX-99.1	Press Release dated March 27, 2023 Exhibit 99.1 Broadwind Names Jeanette Press to Board of Directors Cicero, Ill., March 27, 2023 — Broadwind, Inc. (Nasdaq: BWEN, or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced the appointment of Ms. Jeanette A. Press to its Board of Directors (the “Board”), effective March 22, 2023. With the appointment of Ms.
March 27, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 22, 2023 BROADWIND, INC. (E UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 22, 2023 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Num
March 21, 2023	PREC14A	SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Under Rule 14a-12 Broadwind, Inc.
March 21, 2023	DFAN14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant ☒ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of
March 9, 2023	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-34278 BROADWIND, INC.
March 9, 2023	EX-99.1	Broadwind Announces Fourth Quarter and Full-Year 2022 Results, Introduces 2023 Financial Outlook EXHIBIT 99.1 Broadwind Announces Fourth Quarter and Full-Year 2022 Results, Introduces 2023 Financial Outlook CICERO, Ill., March 09, 2023 (GLOBE NEWSWIRE) - Broadwind, Inc. (Nasdaq: BWEN, “Broadwind” or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the fourth quarter and full-year 2022. FOURTH QUART
March 9, 2023	EX-21	Subsidiaries of the Registrant (filed herewith) EXHIBIT 21 Subsidiaries of the Registrant Subsidiaries State of Incorporation/Formation Brad Foote Gear Works, Inc. Illinois Broadwind Services, LLC Delaware Broadwind Heavy Fabrications, Inc. Wisconsin Broadwind Industrial Solutions, LLC North Carolina
March 9, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 9, 2023 BROADWIND, INC. (Ex UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 9, 2023 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Numb
March 9, 2023	EX-99.2	Fourth Quarter 2022 Conference Call Presentation March 9, 2023 SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 E Exhibit 99.2 Fourth Quarter 2022 Conference Call Presentation March 9, 2023 SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current expectations regarding our future growth, results of opera
February 24, 2023	DFAN14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant ☒ Check the appropriate box: ☐ Preliminary proxy statement ☐ Confidential, for use of
February 14, 2023	EX-10.1	Amendment No. 1 to Credit Agreement and Limited Waiver, dated as of February 8, 2023, by and among Broadwind Inc., Brad Foote Gear Works, Inc., Broadwind Industrial Solutions, LLC, Broadwind Heavy Fabrications, Inc., 5100 Neville Island, LLC and Wells Fargo Bank, National Association (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed February 14, 2023) EXHIBIT 10.1 AMENDMENT NO. 1 TO CREDIT AGREEMENT AND LIMITED WAIVER This Amendment No. 1 to Credit Agreement and Limited Waiver dated as of February 8, 2023 (the “Agreement”) is among WELLS FARGO BANK, NATIONAL ASSOCIATION, as Lender (the “Lender”), BROADWIND, INC., a Delaware corporation (“Company”) and certain Subsidiaries of the Company from time to time party to the Credit Agreement as Borrowe
February 14, 2023	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 8, 2023 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File N
February 7, 2023	SC 13G/A	BWEN / Broadwind Energy, Inc. / PRINCIPAL FINANCIAL GROUP INC - SC13GA BROADWIND INC Passive Investment CUSIP No. 11161T207 13G/A Page 1 of 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1) * Broadwind, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 11161T207 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the
January 19, 2023	EX-99.1	Broadwind Confirms Receipt of WM Argyle Fund’s Notice of Intent to Nominate Directors at the 2023 Annual Meeting --No Action Required by Stockholders-- Exhibit 99.1 Broadwind Confirms Receipt of WM Argyle Fund’s Notice of Intent to Nominate Directors at the 2023 Annual Meeting -No Action Required by Stockholders- CICERO, Ill., Jan. 19, 2023 (GLOBE NEWSWIRE) - Broadwind, Inc. (NASDAQ: BWEN, “Broadwind” or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today confirmed receipt of
January 19, 2023	EX-99.1	Press Release of Broadwind, Inc., dated January 19, 2023. Exhibit 99.1 Broadwind Confirms Receipt of WM Argyle Fund’s Notice of Intent to Nominate Directors at the 2023 Annual Meeting -No Action Required by Stockholders- CICERO, Ill., Jan. 19, 2023 (GLOBE NEWSWIRE) - Broadwind, Inc. (NASDAQ: BWEN, “Broadwind” or the “Company”), a diversified precision manufacturer of specialized components and solutions serving global markets, today confirmed receipt of
January 19, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 19, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 19, 2023 BROADWIND, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-34278 88-0409160 (State or other jurisdiction of incorporation) (Commission File N
January 19, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 19, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 19, 2023 BROADWIND, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-34278 88-0409160 (State or other jurisdiction of incorporation) (Commission File N
January 18, 2023	DFAN14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant o Filed by a party other than the registrant x Check the appropriate box: o Preliminary proxy statement o Confidential, for use of
January 18, 2023	EX-99.1	Investor Presentation dated January 2023 EX-99.1 2 ex464709.htm EXHIBIT 99.1 Exhibit 99.1
January 18, 2023	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 17, 2023 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File N
November 8, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2022 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File N
November 8, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 8, 2022	EX-99.2	Third Quarter 2022 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 Exhibit 99.2 Third Quarter 2022 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains ?forward looking statements? ? that is, statements related to future, not past, events ? as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current expectations regarding our future growth, results of ope
November 8, 2022	EX-99.1	Broadwind Announces Third Quarter 2022 Results EXHIBIT 99.1 Broadwind Announces Third Quarter 2022 Results CICERO, Ill., Nov. 08, 2022 (GLOBE NEWSWIRE) - Broadwind (NASDAQ: BWEN, or the ?Company?), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the third quarter 2022. THIRD QUARTER 2022 RESULTS (As compared to the third quarter 2021) Total Revenue of $44.8 millio
November 4, 2022	EX-99.1	Broadwind Appoints Sachin Shivaram to Board of Directors Exhibit 99.1 Broadwind Appoints Sachin Shivaram to Board of Directors Cicero, Ill., November 4, 2022 ? Broadwind (NASDAQ: BWEN, or the ?Company?), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced the appointment of Mr. Sachin Shivaram to its Board of Directors, effective November 2, 2022. Mr. Shivaram brings to Broadwind more than
November 4, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 2, 2022 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File N
September 12, 2022	424B5	$12,000,000 BROADWIND, INC. COMMON STOCK Filed Pursuant to Rule 424(b)(5) Registration No. 333-248107 Prospectus Supplement (to Prospectus dated October 13, 2020) $12,000,000 BROADWIND, INC. COMMON STOCK We have entered into a Sales Agreement (the ?Sales Agreement?) with Roth Capital Partners, LLC and H.C. Wainwright & Co., LLC (each, an ?Agent? and collectively, the ?Agents?), relating to the sale of shares of our common stock, par valu
September 12, 2022	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ` Date of report (Date of earliest event reported): September 12, 2022 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of (Commission File Number) (IRS
September 12, 2022	EX-1.1	Sales Agreement, dated September 12, 2022, by and among Broadwind, Inc., Roth Capital Partners, LLC and H.C. Wainwright & Co. (incorporated by reference to Exhibit 1.1 to the Company's Current Report on Form 8-K filed September 12, 2022) EX-1.1 2 ex422361.htm SALES AGREEMENT EXHIBIT 1.1 BROADWIND, INC. $12,000,000 Common Stock ($0.001 par value per share) Sales Agreement September 12, 2022 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 H.C. Wainwright & Co., LLC 430 Park Avenue New York, NY 10022 Ladies and Gentlemen: Broadwind, Inc., a Delaware corporation (the “Company”), confirms its agreem
August 12, 2022	EX-10.1	Severance and Non-Competition Agreement dated as of August 10, 2022, between Broadwind, Inc. and Thomas A. Ciccone (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed August 12, 2022) Exhibit 10.1 Core Values: Commitment ? Accountability ? Respect ? Energy ? Safety Severance and Non-Competition Agreement This Severance and Non-Competition Agreement (this ?Agreement?) is made and entered into as of the 10th day of August 2022 and effective as of the 10th day of August, 2022 (the ?Effective Date?), by and between Thomas Ciccone (the ?Employee?) and BROADWIND, INC. (the ?Company?)
August 12, 2022	EX-99.1	Broadwind Announces New Chief Financial Officer EXHIBIT 99.1 Broadwind Announces New Chief Financial Officer CICERO, Ill., Aug. 12, 2022 (GLOBE NEWSWIRE) - Broadwind (NASDAQ: BWEN), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced that Thomas A. Ciccone has been appointed as Vice President, Chief Financial Officer and Principal Financial Officer of Broadwind effective August 10
August 12, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2022 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Nu
August 9, 2022	EX-99.2	Second Quarter 2022 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 2 Exhibit 99.2 Second Quarter 2022 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current expectations regarding our future growth, results of op
August 9, 2022	EX-99.1	Broadwind Announces Second Quarter 2022 Results EXHIBIT 99.1 Broadwind Announces Second Quarter 2022 Results CICERO, Ill., Aug. 09, 2022 (GLOBE NEWSWIRE) - Broadwind (NASDAQ: BWEN, or the ?Company?), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the second quarter 2022. SECOND QUARTER 2022 RESULTS (As compared to the second quarter 2021) Total revenue of $50.0 mi
August 9, 2022	EX-FILING FEES	Calculation of Filing Fees Tables Exhibit 107.1 Table 1: Newly Registered Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, par value $0.001 per share (including Series A Junior Participating Preferred Share Purchase Rights) 457(c) and 457(h) 600,000 (1) (2) $2.14 (3) $1,284,000
August 9, 2022	S-8	As filed with the Securities and Exchange Commission on August 9, 2022 As filed with the Securities and Exchange Commission on August 9, 2022 Registration No.
August 9, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34278 BROA
August 9, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2022 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Num
August 8, 2022	8-K	Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2022 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Num
August 8, 2022	EX-10.1	Credit Agreement, dated as of August 4, 2022, by and among Broadwind, Inc., Brad Foote Gear Works, Inc., Broadwind Industrial Solutions, LLC, Broadwind Heavy Fabrications, Inc., 5100 Neville Road, LLC and Wells Fargo Bank, National Association (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed August 8, 2022) EXHIBIT 10.1 CREDIT AGREEMENT by and among WELLS FARGO BANK, NATIONAL ASSOCIATION, as Lender BROADWIND, INC., as Administrative Borrower, the other parties named herein as Borrowers and, the parties named herein as Guarantors 1. DEFINITIONS AND CONSTRUCTION 1 1.1 Definitions 1 1.2 Accounting Terms 33 1.3 UCC Terms 33 1.4 Construction 34 1.5 Time References 35 1.6 Payment in Full 35 1.7 Rounding 35
August 8, 2022	EX-10.2	Guaranty, dated as of August 4, 2022, by Broadwind, Inc., Brad Foote Gear Works, Inc., Broadwind Industrial Solutions, LLC, Broadwind Heavy Fabrications, Inc. and 5100 Neville Road, LLC in favor of Wells Fargo Bank, National Association (incorporated by reference to Exhibit 10.2 to the Company's Current Report on Form 8-K filed August 8, 2022) EXHIBIT 10.2 GUARANTY This GUARANTY (this ?Guaranty?), is entered into as of August 4, 2022 by the Persons listed on the signature pages hereof as ?Guarantors? (together with any other entity that may hereafter become party hereto as a Guarantor, individually, a ?Guarantor? and collectively, ?Guarantors?) in favor of Wells Fargo Bank, National Association (?Lender?). W I T N E S S E T H: WHEREAS B
August 8, 2022	EX-99.1	Broadwind Announces New $35 Million Credit Facility EXHIBIT 99.1 Broadwind Announces New $35 Million Credit Facility CICERO, Ill., Aug. 08, 2022 (GLOBE NEWSWIRE) - Broadwind (NASDAQ: BWEN), announced today that it has completed a $35 million senior secured asset-based revolving loan facility and a $7.578 million senior secured term loan facility with Wells Fargo Bank, National Association as lender. The five year facilities mature on August 4, 2027
May 27, 2022	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.) 3240 South Central Avenue, Cicero, Illinois 60804 (Address of Principal Executive O
May 27, 2022	EX-1.01	Exhibit 1.01 - Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. EX-1.01 2 ex377195.htm EXHIBIT 1.01 Exhibit 1.01 Broadwind, Inc. Conflict Minerals Report For The Year Ended December 31, 2021 This report for the year ended December 31, 2021 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (the “SEC”) to implement reporting and disclosure requ
May 6, 2022	EX-99.2	First Quarter 2022 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 Exhibit 99.2 First Quarter 2022 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains ?forward looking statements? ? that is, statements related to future, not past, events ? as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current expectations regarding our future growth, results of ope
May 6, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2022 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Number
May 6, 2022	EX-99.1	Broadwind Announces First Quarter 2022 Results EXHIBIT 99.1 Broadwind Announces First Quarter 2022 Results CICERO, Ill., May 06, 2022 (GLOBE NEWSWIRE) - Broadwind (NASDAQ: BWEN, or the ?Company?), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the first quarter 2022. FIRST QUARTER 2022 RESULTS (As compared to the first quarter 2021) Total revenue of $41.8 million
May 6, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 29, 2022	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 26, 2022 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Num
March 14, 2022	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) DEFA14A 1 bwen20220314defa14a.htm FORM DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐Confidential, for Use of the Commission O
March 14, 2022	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Table of contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14
March 7, 2022	PRER14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ?Confidential, for Use of the Commission Only (as permitted by Rule 14a?6(e)(2)) ? Defin
March 4, 2022	PRE 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) PRE 14A 1 bwen20220301pre14a.htm FORM PRE 14A Table of contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use o
March 2, 2022	EX-99.1	Broadwind Announces Fourth Quarter and Full-Year 2021 Results EXHIBIT 99.1 Broadwind Announces Fourth Quarter and Full-Year 2021 Results CICERO, Ill., March 02, 2022 (GLOBE NEWSWIRE) - Broadwind (NASDAQ: BWEN, or the ?Company?), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the fourth quarter and full-year 2021. FULL-YEAR 2021 RESULTS (As compared to the full-year 2020) Total
March 2, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 2, 2022 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Numb
March 2, 2022	EX-10.30	Fourth Amendment to Amended and Restated Loan and Security Agreement, dated February 28, 2022, among the Company, Brad Foote Gearworks, Inc., Broadwind Services, LLC, Broadwind Heavy Fabrications, Inc. Broadwind Industrial Solutions, LLC and Exhibit 10.30 FOURTH AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT THIS FOURTH AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (this ?Amendment?) is dated as of February 28, 2022, by and among CIBC BANK USA, formerly known as THE PRIVATEBANK AND TRUST COMPANY, in its capacity as a Lender (?Lender?) and as administrative agent (?Administrative Agent?), BROADWIND, INC.,
March 2, 2022	EX-21	Subsidiaries of the Registrant (filed herewith) EXHIBIT 21 Subsidiaries of the Registrant Subsidiaries State of Incorporation/Formation Brad Foote Gear Works, Inc. Illinois Broadwind Services, LLC Delaware Broadwind Heavy Fabrications, Inc. Wisconsin Broadwind Industrial Solutions, LLC North Carolina
March 2, 2022	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-34278 BROADWIND, INC.
March 2, 2022	EX-99.2	Fourth Quarter 2021 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 2 Exhibit 99.2 Fourth Quarter 2021 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current expectations regarding our future growth, results of op
February 3, 2022	8-K	Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 3, 2022 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File N
February 3, 2022	8-A12B/A	File No. 001-34278 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A/A (Amendment No. 3) FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 88-0409160 (State or Other Jurisdiction of Incorporation) (IRS Employer Identification No.) 3240
February 3, 2022	EX-4.1	Third Amendment to Section 382 Rights Agreement dated as of February 3, 2022 between the Company and Equiniti Trust Company, as rights agent (incorporated by reference to Exhibit 4.1 to the Company's Current Report on Form 8-K filed February 3, 2022 Exhibit 4.1 THIRD AMENDMENT TO SECTION 382 RIGHTS AGREEMENT THIS THIRD AMENDMENT TO SECTION 382 RIGHTS AGREEMENT (this ?Amendment?) is made and entered into as of February 3, 2022, by and between Broadwind Energy, Inc., a Delaware corporation (the ?Company?), and Equiniti Trust Company, formerly Wells Fargo, National Association, as rights agent (the ?Rights Agent?). WHEREAS, the Company and the R
November 10, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2021 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File
November 10, 2021	EX-99.1	Broadwind Announces Third Quarter 2021 Results EXHIBIT 99.1 Broadwind Announces Third Quarter 2021 Results CICERO, Ill., Nov. 10, 2021 (GLOBE NEWSWIRE) - Broadwind (NASDAQ: BWEN), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the third quarter 2021. THIRD QUARTER 2021 RESULTS (As compared to the third quarter 2020) Total revenue of $40.4 million, down 26% year-o
November 10, 2021	EX-10.1	Third Amendment to Amended and Restated Loan and Security Agreement, dated November 8, 2021, among the Company, Brad Foote Gearworks, Inc., Broadwind Services, LLC, Broadwind Heavy Fabrications, Inc., Broadwind Industrial Solutions, LLC and CIBC Bank USA, as Administrative Agent for itself and all Lenders (incorporated by reference to Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2021) EXHIBIT 10.1 THIRD AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT THIS THIRD AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (this ?Amendment?) is dated as of November 8, 2021 (the ?Effective Date?), by among BROADWIND INC., a Delaware corporation f/k/a Broadwind Energy, Inc. (?Parent?), BRAD FOOTE GEAR WORKS, INC., an Illinois corporation (?Brad Foote?), BROADWIND HEA
November 10, 2021	S-8	File No. 333-260956 As filed with the Securities and Exchange Commission on November 10, 2021 Registration No.
November 10, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 10, 2021	EX-99.2	Third Quarter 2021 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 Exhibit 99.2 Third Quarter 2021 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains ?forward looking statements? ? that is, statements related to future, not past, events ? as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current expectations regarding our future growth, results of ope
October 12, 2021	SC 13G/A	BWEN / Broadwind Energy, Inc. / Invesco Ltd. - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Broadwind Inc (Name of Issuer) Common Stock (Title of Class of Securities) 11161T207 (CUSIP Number) September 30, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedul
September 9, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2021 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File
September 9, 2021	EX-99.1	Broadwind Announces Chief Financial Officer Succession Plan EXHIBIT 99.1 Broadwind Announces Chief Financial Officer Succession Plan CICERO, Ill., Sept. 08, 2021 (GLOBE NEWSWIRE) - Broadwind (NASDAQ: BWEN), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced that Jason Bonfigt, Vice President and Chief Financial Officer, informed the Board of Directors of his intent to pursue other opportunit
August 6, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 6, 2021	EX-99.1	Broadwind Announces Second Quarter 2021 Results EXHIBIT 99.1 Broadwind Announces Second Quarter 2021 Results CICERO, Ill., Aug. 06, 2021 (GLOBE NEWSWIRE) - Broadwind (NASDAQ: BWEN), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the second quarter 2021. SECOND QUARTER 2021 RESULTS (As compared to the second quarter 2020) Total revenue of $46.5 million, down 15% ye
August 6, 2021	EX-99.2	Second Quarter 2021 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 2 Exhibit 99.2 Second Quarter 2021 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains ?forward looking statements? ? that is, statements related to future, not past, events ? as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current expectations regarding our future growth, results of op
August 6, 2021	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 3, 2021 BROADWIND, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Number)
May 27, 2021	EX-1.01	Exhibit 1.01 - Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. Exhibit 1.01 Broadwind, Inc. Conflict Minerals Report For The Year Ended December 31, 2020 This report for the year ended December 31, 2020 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the ?Rule?). The Rule was adopted by the Securities and Exchange Commission (the ?SEC?) to implement reporting and disclosure requirements related to Conflict Mineral
May 27, 2021	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ` Date of report (Date of earliest event reported): May 26, 2021 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of (Commission File Number) (IRS Emplo
May 27, 2021	SD	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.) 3240 South Central Avenue, Cicero, Illinois 60804 (Address of Principal Executive O
May 27, 2021	EX-99.1	Broadwind Announces Completion of At-The-Market Equity Program Exhibit 99.1 Broadwind Announces Completion of At-The-Market Equity Program Cicero, Ill., May 27, 2021 ? Broadwind (NASDAQ: BWEN), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced the completion of its previously announced at-the-market equity program. On March 9, 2021, Broadwind announced that it had entered into an equity distri
May 7, 2021	S-8	- FORM S-8 As filed with the Securities and Exchange Commission on May 7, 2021 Registration No.
May 7, 2021	EX-99.1	Broadwind Announces First Quarter 2021 Results EXHIBIT 99.1 Broadwind Announces First Quarter 2021 Results CICERO, Ill., May 07, 2021 (GLOBE NEWSWIRE) - Broadwind (NASDAQ: BWEN), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the first quarter 2021. FIRST QUARTER 2021 RESULTS (As compared to the first quarter 2020) Wind tower section orders up 103% year-over-year
May 7, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): May 7, 2021 BROADWIND, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I
May 7, 2021	EX-99.2	First Quarter 2021 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21 Exhibit 99.2 First Quarter 2021 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains ?forward looking statements? ? that is, statements related to future, not past, events ? as defined in Section 21 E of the Securities Exchange Act of 1934 , as amended, that reflect our current expectations regarding our future growth, results of ope
May 7, 2021	10-Q	Quarterly Report - FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
May 5, 2021	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 30, 2021 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Num
April 5, 2021	DEFA14A	- FORM DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a?6(e)(2)) ? Defin
April 5, 2021	DEFR14A	Second Amendment to Amended and Restated Broadwind, Inc. 2015 Equity Incentive Plan (incorporated by reference to Appendix B to Amendment No. 1 to the Company's Schedule 14A filed on April 5, 2021) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a?6(e)(2)) ? Defi
March 18, 2021	DEF 14A	- FORM DEF 14A Table of contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14
March 9, 2021	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ` Date of report (Date of earliest event reported): March 9, 2021 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of (Commission File Number) (IRS Empl
March 9, 2021	424B5	$10,000,000 BROADWIND, INC. COMMON STOCK Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-248107 Prospectus Supplement (to Prospectus dated October 13, 2020) $10,000,000 BROADWIND, INC. COMMON STOCK We have entered into an Equity Distribution Agreement, or the Distribution Agreement, with Craig-Hallum Capital Group LLC, or Craig-Hallum, relating to the sale of shares of our common stock, par value $0.001 per share,
March 9, 2021	EX-1.1	Equity Distribution Agreement, dated March 9, 2021, by and between the Company and Craig-Hallum Capital Group LLC (incorporated by reference to Exhibit 1.1 to the Company's Current Report on Form 8-K filed March 9, 2021) EXHIBIT 1.1 Broadwind, Inc. EQUITY DISTRIBUTION AGREEMENT March 9, 2021 CRAIG-HALLUM CAPITAL GROUP LLC 22 Second Ninth Street, Suite 350 Minneapolis, Minnesota 55402 Ladies and Gentlemen: Broadwind, Inc., a Delaware corporation (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries o
February 25, 2021	EX-99.2	Fourth Quarter & Full - Year 2020 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This presentation contains “forward looking statements” — that is, statements related to future, not past, events — as d EXHIBIT 99.2 Fourth Quarter & Full - Year 2020 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This presentation contains ?forward looking statements? ? that is, statements related to future, not past, events ? as defined in Se ction 21E of the Securities Exchange Act of 1934, as amended, that reflect our current expectations regarding our future gro
February 25, 2021	10-K	Annual Report - FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001- 34278 BROADWIND, INC
February 25, 2021	EX-10.33	Second Amendment to the Amended and Restated Loan and Security Agreement, dated February 23, 2021, among the Company, Brad Foote Gearworks, Inc, Broadwind Services, LLC, Broadwind Heavy Fabrications, Inc., Broadwind Industrial Solutions, LLC, and CIBC Bank USA, as Administrative Agent for itself and all Lenders (incorporated by reference to Exhibit 10.33 to the Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2020) Exhibit 10.33 SECOND AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT THIS SECOND AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (this ?Amendment?) is dated as of February 23, 2021 (the ?Effective Date?), by among BROADWIND INC., a Delaware corporation f/k/a Broadwind Energy, Inc. (?Parent?), BRAD FOOTE GEAR WORKS, INC., an Illinois corporation (?Brad Foote?), BROADWIND
February 25, 2021	EX-21	Subsidiaries of the Registrant (filed herewith) EXHIBIT 21 Subsidiaries of the Registrant Subsidiaries State of Incorporation/Formation Brad Foote Gear Works, Inc. Illinois Broadwind Services, LLC Delaware Broadwind Heavy Fabrications, Inc. Wisconsin Broadwind Industrial Solutions, LLC North Carolina
February 25, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 f8k022421.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): February 25, 2021 BROADWIND, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorpo
February 25, 2021	EX-99.1	Broadwind Announces Fourth Quarter and Full-Year 2020 Results EXHIBIT 99.1 Broadwind Announces Fourth Quarter and Full-Year 2020 Results CICERO, Ill., Feb. 25, 2021 (GLOBE NEWSWIRE) - Broadwind (NASDAQ: BWEN), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the fourth quarter and full-year 2020. FULL-YEAR 2020 RESULTS (As compared to the full-year 2019) Wind tower sections sold,
February 16, 2021	SC 13G/A	SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. 2)* Broadwind, I SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. 2)* Broadwind, Inc. (Name of Issuer) Common stock, $0.001 par value (Title of Class of Securities) 11161T207 (CUSIP Number) December 31, 2020 (Date of Event which Req
January 26, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ` Date of report (Date of earliest event reported): January 22, 2021 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of (Commission File Number) (IRS E
January 26, 2021	EX-99	Broadwind Provides Preliminary Fourth Quarter 2020 Results and First Half 2021 Financial Guidance Exhibit 99.1 Broadwind Provides Preliminary Fourth Quarter 2020 Results and First Half 2021 Financial Guidance Cicero, Ill., January 22, 2021 — Broadwind (NASDAQ: BWEN), a diversified precision manufacturer of specialized components and solutions serving global markets, today issued preliminary results for the fourth quarter 2020 and introduced financial guidance for the first half of 2021. For th
January 11, 2021	SC 13G	SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Broadwind Inc (Name of Issuer) Common Stock (Title of Class of Securities) 11161T207 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i
January 11, 2021	EX-99	JOINT FILING AGREEMENT Invesco Joint Filing Agreement JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) (l) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing of the attached Schedule 13G, and any and all amendments thereto, and expressly authorize Invesco Ltd.
January 4, 2021	SC 13G	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 BROADWIND, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 11161T207 (CUSIP N UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 BROADWIND, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 11161T207 (CUSIP Number) DECEMBER 29, 2020 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which thi
November 4, 2020	EX-10.1	Form of Performance Award Agreement (Amended and Restated Broadwind, Inc. 2015 Equity Incentive Plan) (incorporated by reference to Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2020) Exhibit 10.1 Amended and Restated Broadwind Energy, Inc. 2015 Equity Incentive Plan Performance Award Notice [[FIRSTNAME]] [[LASTNAME]] You have been awarded a Performance Award, pursuant to the terms of the Amended and Restated Broadwind Energy, Inc. 2015 Equity Incentive Plan (the “Plan”) and the Performance Award Agreement attached hereto (together with this Award Notice, the “Agreement”). Capi
November 4, 2020	EX-10.3	First Amendment to the Amended and Restated Loan and Security Agreement and Other Loan Documents, dated October 29, 2020, among the Company, Brad Foote Gearworks, Inc, Broadwind Services, LLC, Broadwind Heavy Fabrications, Inc., Broadwind Industrial Solutions, LLC, CIBC Bank USA, as Administrative Agent for itself and all Lenders and Siena Lending Group (incorporated by reference to Exhibit 10.3 to the Company's Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2020) Exhibit 10.3 FIRST AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT AND OTHER LOAN DOCUMENTS THIS FIRST AMENDMENT TO AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT AND OTHER LOAN DOCUMENTS (this “Amendment”) is dated as of October 29, 2020 (the “Execution Date”), but is effective as of September 2, 2020 (the “Effective Date”), by among BROADWIND INC., a Delaware corporation f/k/a Br
November 4, 2020	EX-99.1	Broadwind Announces Third Quarter 2020 Results EX-99.1 2 exh991.htm PRESS RELEASE EXHIBIT 99.1 Broadwind Announces Third Quarter 2020 Results CICERO, Ill., Nov. 04, 2020 (GLOBE NEWSWIRE) - Broadwind (NASDAQ: BWEN), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the third quarter 2020. THIRD QUARTER 2020 RESULTS (As compared to the third quarter 2019) Total revenu
November 4, 2020	10-Q	Quarterly Report - FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ⌧ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34278
November 4, 2020	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): November 4, 2020 BROADWIND, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Numbe
November 4, 2020	EX-99.2	3Q20 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21E of the Secur EXHIBIT 99.2 3Q20 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation This release contains “forward looking statements” — that is, statements related to future, not past, events — as defined in Section 21E of the Securities Exchange Act of 1934, as amended, that reflect our current expectations regarding our future growth, results of operations, f ina n
November 4, 2020	EX-10.2	First Amendment to Amended and Restated Broadwind Energy, Inc. 2015 Equity Incentive Plan (incorporated by reference to Exhibit 10.2 to the Company's Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2020) Exhibit 10.2 FIRST AMENDMENT TO AMENDED AND RESTATED BROADWIND ENERGY, INC. 2015 EQUITY INCENTIVE PLAN This First Amendment (this “Amendment”), is hereby adopted by the Board of Directors (the “Board”) of Broadwind, Inc., a Delaware corporation (the “Company”), effective as of the Effective Date (as defined below). RECITALS WHEREAS, the Company previously adopted the Amended And Restated Broadwind
November 4, 2020	EX-10.1	Form of Performance Award Agreement (Amended and Restated Broadwind, Inc. 2015 Equity Incentive Plan) (incorporated by reference to Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2020) Exhibit 10.1 Amended and Restated Broadwind Energy, Inc. 2015 Equity Incentive Plan Performance Award Notice [[FIRSTNAME]] [[LASTNAME]] You have been awarded a Performance Award, pursuant to the terms of the Amended and Restated Broadwind Energy, Inc. 2015 Equity Incentive Plan (the “Plan”) and the Performance Award Agreement attached hereto (together with this Award Notice, the “Agreement”). Capi
October 9, 2020	CORRESP	Broadwind, Inc. 3240 South Central Avenue Cicero, Illinois 60804 October 9, 2020 Broadwind, Inc. 3240 South Central Avenue Cicero, Illinois 60804 October 9, 2020 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 Attn: Thomas Jones Re: Broadwind, Inc. Registration Statement on Form S-3 File No. 333-248107 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended (the ?Securities Act?), Broadwind,
October 8, 2020	S-3/A	- FORM S-3/A As filed with the Securities and Exchange Commission on October 8, 2020 Registration No.
August 31, 2020	8-K	Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 31, 2020 BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Nu
August 31, 2020	EX-99.1	Broadwind Provides Business Update Announces $21 million Wind Tower Orders with Major Turbine OEM for Delivery in 2021 Exhibit 99.1 Broadwind Provides Business Update Announces $21 million Wind Tower Orders with Major Turbine OEM for Delivery in 2021 Cicero, Ill., August 31, 2020 — Broadwind (NASDAQ: BWEN), a diversified precision manufacturer of specialized components and solutions serving global markets, today provided an update on new order activity and current business conditions. ORDER ACTIVITY Broadwind toda
August 24, 2020	LETTER	LETTER United States securities and exchange commission logo August 24, 2020 Eric B. Blashford President, Chief Executive Officer Broadwind, Inc. 3240 South Central Avenue Cicero, Illinois 60804 Re: Broadwind, Inc. Registration Statement on Form S-3 Filed August 18, 2020 File No. 333-248107 Dear Mr. Blashford: This is to advise you that we have not reviewed and will not review your registration statement
August 18, 2020	S-3	Power of Attorney (included on the signature page) As filed with the Securities and Exchange Commission on August 18, 2020 Registration No.
August 5, 2020	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): August 5, 2020 BROADWIND, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Number)
August 5, 2020	EX-99.1	Broadwind Announces Second Quarter 2020 Results EXHIBIT 99.1 Broadwind Announces Second Quarter 2020 Results CICERO, Ill., Aug. 05, 2020 (GLOBE NEWSWIRE) - Broadwind (NASDAQ: BWEN), a diversified precision manufacturer of specialized components and solutions serving global markets, today announced results for the second quarter 2020. 2Q20 HIGHLIGHTS Total revenue of $54.9 million (+33% y/y) Total gross margin of 9.9% (+40 bps y/y) Total net inc
August 5, 2020	EX-99.2	2Q20 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation Broadwind obtained the industry and market data used throughout this presentation from our own research, internal surveys and studies conducted by th Exhibit 99.2 2Q20 Results Conference Call Investor Presentation SAFE - HARBOR STATEMENT 2 \| Investor Presentation Broadwind obtained the industry and market data used throughout this presentation from our own research, internal surveys and studies conducted by third parties, independent industry associations or general publications and other publicly available information . Independent industry pu
August 5, 2020	10-Q	Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ⌧ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ◻ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34278 BROA
July 10, 2020	SC 13G/A	BWEN / Broadwind Energy, Inc. / Luxor Capital Group, LP - AMENDMENT NO. 1 TO THE SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. 1)* Broadwind, Inc. (Name of Issuer) Common stock, $0.001 par value (Title of Class of Securities) 11161T207 (CUSIP Number) June 29, 2020 (Date of Event which Require
July 9, 2020	SC 13G	BWEN / Broadwind Energy, Inc. / Luxor Capital Group, LP - SCHEDULE 13G DATED JUNE 29, 2020 Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. )* Broadwind, Inc. (Name of Issuer) Common stock, $0.001 par value (Title of Class of Securities) 11161T207 (CUSIP Number) June 29, 2020 (Date of Event which Requires
June 26, 2020	11-K	he Plan’s Annual Report on Form 11-K for the year ended December 31, 2019, filed June 26, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One) ⌧ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ◻TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34278 A. Full title of the plan and
May 29, 2020	SD	- SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT BROADWIND, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.) 3240 South Central Avenue, Cicero, Illinois 60804 (Address of Principal Executive O
May 29, 2020	EX-1.01	Exhibit 1.01 - Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. EX-1.01 2 tmb-20200529xex1d01.htm EX-1.01 Exhibit 1.01 Broadwind, Inc. Conflict Minerals Report For The Year Ended December 31, 2019 This report for the year ended December 31, 2019 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (the “SEC”) to implement reporting and disclosur
May 29, 2020	EX-1.01	Exhibit 1.01 - Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. EX-1.01 2 tmb-20200529xex1d01.htm EX-1.01 Exhibit 1.01 Broadwind, Inc. Conflict Minerals Report For The Year Ended December 31, 2019 This report for the year ended December 31, 2019 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (the “SEC”) to implement reporting and disclosur
May 8, 2020	10-Q	Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34278 BROAD
May 8, 2020	EX-10.2	Note dated April 5, 2020 by and between Broadwind Heavy Fabricators, Inc. and CIBC Bank USA (incorporated by reference to Exhibit 10.2 to the Company's Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2020) Exhibit 10.2 SBA U.S. Small Business Administration Note SBA Loan # 54710870-06 SBA Loan Name Broadwind Heavy Fabrications, Inc. Date April 5, 2020 Loan Amount $6,064,600.00 Interest Rate 1.00% Fixed Borrower Broadwind Heavy Fabrications, Inc. Operating Company Lender CIBC Bank USA 1. PROMISE TO PAY: In return for the Loan, Borrower promises to pay to the order of Lender the amount of Six Million
May 8, 2020	EX-10.1	Note dated April 5, 2020 by and between Brad Foote Gear Works, Inc. and CIBC Bank USA (incorporated by reference to Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2020) Exhibit 10.1 SBA U.S. Small Business Administration Note SBA Loan # 54570770-07 SBA Loan Name Brad Foote Gear Works, Inc. Date April 5, 2020 Loan Amount $2,599,200.00 Interest Rate 1.00% Fixed Borrower Brad Foote Gear Works, Inc. Operating Company Brad Foote Gear Works, Inc. Lender CIBC Bank USA 1. PROMISE TO PAY: In return for the Loan, Borrower promises to pay to the order of Lender the amount o

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