Estatísticas Básicas
| LEI | 529900ATI5MMWNW41F84 |
| 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)
Esta página fornece uma lista completa e cronológica de Arquivamentos da SEC, excluindo os arquivamentos de propriedade que fornecemos em outro lugar.
| June 1, 2026 |
Broadwind, Inc. Conflict Minerals Report For The Year Ended December 31, 2025 Exhibit 1.01 Broadwind, Inc. Conflict Minerals Report For The Year Ended December 31, 2025 This report for the year ended December 31, 2025 (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 |
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| June 1, 2026 |
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 |
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| May 29, 2026 |
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 28, 2026 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 |
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| May 12, 2026 |
Broadwind Announces First Quarter 2026 Results EXHIBIT 99.1 Broadwind Announces First Quarter 2026 Results CICERO, Illinois, May 12, 2026 (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 2026. FIRST QUARTER 2026 RESULTS (As compared to the first quarter 2025) Total revenue of $34.1 mil |
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| May 12, 2026 |
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, 2026 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 |
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| May 12, 2026 |
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 12, 2026 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 |
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| May 12, 2026 |
Exhibit 99.2 1 Broadwind | Investor Presentation 2023 First Quarter 2026 Conference Call Presentation May 12, 2026 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 |
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| May 7, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) 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, 2026 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction of Incorporation) |
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| May 7, 2026 |
EXHIBIT 99.1 UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL INFORMATION On April 30, 2026, (the “Closing Date”) Broadwind Heavy Fabrications, Inc. (the “Seller”), a wholly owned subsidiary of Broadwind, Inc. (the “Company”), entered into a Purchase and Sale Agreement (the “Purchase Agreement”) with Freeman Enclosure Systems, LLC, (the “Buyer”), a wholly-owned subsidiary of IES Holdings, Inc. |
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| May 6, 2026 |
EXHIBIT 2.1 PURCHASE AND SALE CONTRACT This Purchase and Sale Contract (“Contract”) is made effective as of April 30, 2026 (the “Closing Date”), by and between Freeman Enclosure Systems, LLC, an Ohio limited liability company (“Buyer”), and Broadwind Heavy Fabrications, Inc., a Wisconsin corporation (formerly known as Tower Tech Systems Inc.) (“Seller”). Each of the Buyer and Seller is hereinafter |
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| May 6, 2026 |
EXHIBIT 99.1 BROADWIND ANNOUNCES STRATEGIC EXIT FROM WIND MARKET WITH SALE OF ABILENE FACILITY, PIVOTS TO BECOME PURE-PLAY PRECISION MANUFACTURER SUPPORTING POWER GENERATION AND CRITICAL INFRASTRUCTURE MARKETS; AND WITHDRAWS 2026 FINANCIAL GUIDANCE Cicero, Ill., May 5, 2026 — Broadwind (Nasdaq: BWEN, or the “Company”), a diversified precision manufacturer of specialized components and solutions se |
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| May 6, 2026 |
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, 2026 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 |
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| April 16, 2026 |
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| April 14, 2026 |
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) |
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| April 14, 2026 |
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 |
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| April 6, 2026 |
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 31, 2026 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction (Commission (I.R.S. Employer of Incorp |
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| March 11, 2026 |
Exhibit 99.2 1 Broadwind | Investor Presentation 2023 Fourth Quarter and Full - Year 2025 Conference Call Presentation March 11, 2026 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 reflec |
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| March 11, 2026 |
Subsidiaries of the Registrant 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 |
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| March 11, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ********////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////// UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 11, 2026 |
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 11, 2026 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 |
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| March 11, 2026 |
Broadwind Announces Fourth Quarter and Full-Year 2025 Results EXHIBIT 99.1 Broadwind Announces Fourth Quarter and Full-Year 2025 Results CICERO, Ill., March 11, 2026 (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 2025. FOURTH QUARTER 2025 RESULTS (As compared to the fourth quarter 20 |
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| March 11, 2026 |
EXHIBIT 4.7 BROADWIND ENERGY, INC. DESCRIPTION OF SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The authorized capital stock of Broadwind Energy, Inc. (the “Company,” “Broadwind” or “us”) consists of 45,000,000 shares of common stock, par value $0.001 per share, and 10,000,000 shares of undesignated stock, par value $0.001 per share, which may be designated as |
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| February 5, 2026 |
EXHIBIT 99.1 BROADWIND ANNOUNCES PRELIMINARY FULL-YEAR 2025 RESULTS, INTRODUCES FULL-YEAR 2026 FINANCIAL GUIDANCE, AND ANNOUNCES FOURTH QUARTER 2025 RESULTS CONFERENCE CALL AND WEBCAST DATE CICERO, Ill., February 5, 2026 - Broadwind (Nasdaq: BWEN, or the “Company”), a diversified precision manufacturer of specialized components and equipment serving global markets, today announced select prelimina |
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| February 5, 2026 |
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, 2026 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 |
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| February 5, 2026 |
AMENDMENT NO. 4 TO CREDIT AGREEMENT EXHIBIT 10.1 AMENDMENT NO. 4 TO CREDIT AGREEMENT This Amendment No. 4 to Credit Agreement dated as of February 04, 2026 (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 |
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| November 13, 2025 |
Broadwind Announces Third Quarter 2025 Results EXHIBIT 99.1 Broadwind Announces Third Quarter 2025 Results CICERO, Ill., Nov. 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 third quarter 2025. THIRD QUARTER 2025 RESULTS (As compared to the third quarter 2024) Total revenue of $44.2 millio |
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| November 13, 2025 |
Exhibit 99.2 1 Broadwind | Investor Presentation 2023 Third Quarter 2025 Conference Call Presentation November 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 amended, that reflect our current |
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| November 13, 2025 |
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, 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 |
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| November 13, 2025 |
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, 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 |
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| September 23, 2025 |
AMENDMENT NO. 3 TO CREDIT AGREEMENT EXHIBIT 10.1 AMENDMENT NO. 3 TO CREDIT AGREEMENT This Amendment No. 3 to Credit Agreement dated as of September 22, 2025 (this “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, “Borrowe |
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| September 23, 2025 |
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 22, 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 |
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| September 10, 2025 |
FIRST AMENDMENT TO ASSET PURCHASE AGREEMENT EXHIBIT 2.2 FIRST AMENDMENT TO ASSET PURCHASE AGREEMENT This FIRST AMENDMENT TO ASSET PURCHASE AGREEMENT (this “Amendment”) is made and entered into as of August 21, 2025, by and between Broadwind Heavy Fabrications, Inc., a Wisconsin corporation (“Seller”), and Wisconsin Heavy Fabrication, LLC, a Delaware limited liability company (“Buyer”). Seller and Buyer are hereinafter collectively referred |
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| September 10, 2025 |
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 10, 2025 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction (Commission (I.R.S. Employer of In |
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| September 10, 2025 |
EXHIBIT 99.1 BROADWIND COMPLETES SALE OF INDUSTRIAL FABRICATION OPERATIONS IN WISCONSIN, INTRODUCES FULL-YEAR 2025 FINANCIAL GUIDANCE Cicero, Ill., September 10, 2025 - Broadwind (Nasdaq: BWEN, or the “Company”), a diversified precision manufacturer of specialized components and equipment serving global markets, today announced the completion of the previously disclosed sale of its industrial fabr |
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| September 10, 2025 |
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, 2025 BROADWIND, INC. (Exact name of registrant as specified in its charter) Delaware 001-34278 88-0409160 (State or Other Jurisdiction (Commission (I.R.S. Employer of Inc |
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| September 10, 2025 |
BROADWIND ANNOUNCES NEW SHARE REPURCHASE PROGRAM EXHIBIT 99.1 BROADWIND ANNOUNCES NEW SHARE REPURCHASE PROGRAM Cicero, Ill., September 10, 2025 - Broadwind (Nasdaq: BWEN, or the “Company”), a diversified precision manufacturer of specialized components and equipment serving global markets, today announced that its Board of Directors has authorized a share repurchase program of up to $3 million in common stock. The authorization permits the repur |
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| August 12, 2025 |
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 |
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| August 12, 2025 |
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 |
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| August 12, 2025 |
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 |
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| August 12, 2025 |
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 |
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| August 12, 2025 |
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 |
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| August 12, 2025 |
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 |
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| June 5, 2025 |
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 |
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| June 5, 2025 |
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 |
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| May 30, 2025 |
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 |
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| May 30, 2025 |
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 |
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| May 19, 2025 |
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 |
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| May 16, 2025 |
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. |
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| May 16, 2025 |
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. |
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| May 13, 2025 |
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 |
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| May 13, 2025 |
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 |
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| May 13, 2025 |
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 |
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| May 13, 2025 |
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) |
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| May 6, 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 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 |
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| April 4, 2025 |
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| April 2, 2025 |
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 |
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| April 2, 2025 |
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) |
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| March 18, 2025 |
Table of contents PRELIMINARY PROXY STATEMENT - SUBJECT TO COMPLETION DATED MARCH 18, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ********////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////// UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 5, 2025 |
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 |
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| March 5, 2025 |
Investor Presentation dated March 5, 2025 EXHIBIT 99.2 |
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| March 5, 2025 |
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 |
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| March 5, 2025 |
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 |
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| March 5, 2025 |
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. |
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| February 6, 2025 |
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 |
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| 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 |
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| February 6, 2025 |
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 |
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| 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 |
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| January 30, 2025 |
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 |
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| 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 |
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| December 23, 2024 |
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 |
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| December 23, 2024 |
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 |
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| November 13, 2024 |
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 |
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| November 13, 2024 |
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 |
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| November 13, 2024 |
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 |
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| November 13, 2024 |
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 |
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| October 24, 2024 |
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 |
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| August 30, 2024 |
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 |
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| August 15, 2024 |
Table of Contents PRELIMINARY PROXY STATEMENT - SUBJECT TO COMPLETION DATED AUGUST 15, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 13, 2024 |
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 |
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| August 13, 2024 |
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 |
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| August 13, 2024 |
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 |
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| August 13, 2024 |
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 |
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| May 31, 2024 |
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 |
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| May 31, 2024 |
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 |
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| May 20, 2024 |
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 |
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| May 17, 2024 |
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. |
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| 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 |
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| May 17, 2024 |
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 |
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| May 14, 2024 |
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 |
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| May 14, 2024 |
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 |
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| May 14, 2024 |
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 |
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| May 14, 2024 |
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 |
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| April 10, 2024 |
3240 South Central Avenue Cicero, Illinois 60804 Telephone: 708-780-4800 Dear Fellow Stockholder: You are cordially invited to attend the 2024 Annual Meeting of Stockholders (the “Annual Meeting”) of Broadwind, Inc. |
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| April 2, 2024 |
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 |
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| March 19, 2024 |
Table of contents PRELIMINARY PROXY STATEMENT - SUBJECT TO COMPLETION DATED MARCH 19, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 5, 2024 |
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 |
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| March 5, 2024 |
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 |
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| March 5, 2024 |
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 |
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| March 5, 2024 |
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 |
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| March 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ********////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////////// UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 5, 2024 |
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 |
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| February 9, 2024 |
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 |
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| February 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A 12/31/23 Under the Securities Exchange Act of 1934 (Amendment No.12) BROADWIND,INC. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 11161T207 (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) |
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| December 27, 2023 |
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 |
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| 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 |
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| 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 |
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| December 27, 2023 |
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 |
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| November 13, 2023 |
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 |
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| November 13, 2023 |
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 |
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| November 13, 2023 |
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 |
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| November 13, 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): 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 |
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| October 10, 2023 |
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 |
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| September 27, 2023 |
United States securities and exchange commission logo September 27, 2023 Thomas Ciccone Vice President & Chief Financial Officer Broadwind, Inc. |
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| September 22, 2023 |
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 |
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| September 22, 2023 |
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. |
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| August 14, 2023 |
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 |
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| August 14, 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): 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 |
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| August 14, 2023 |
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 |
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| August 14, 2023 |
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 |
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| June 28, 2023 |
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 |
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| 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 |
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| May 31, 2023 |
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 |
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| May 31, 2023 |
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 |
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| May 25, 2023 |
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. |
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| May 25, 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): 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 |
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| May 25, 2023 |
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 |
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| May 15, 2023 |
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) |
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| May 15, 2023 |
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 |
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| May 11, 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): 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 |
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| May 11, 2023 |
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 |
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| May 11, 2023 |
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 |
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| May 11, 2023 |
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 |
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| May 10, 2023 |
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) |
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| May 9, 2023 |
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 |
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| May 9, 2023 |
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 |
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| May 8, 2023 |
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 |
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| May 5, 2023 |
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) |
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| May 4, 2023 |
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) |
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| May 4, 2023 |
Exhibit 1 |
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| May 1, 2023 |
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 |
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| April 26, 2023 |
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) |
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| April 21, 2023 |
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 |
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| April 21, 2023 |
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 |
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| April 21, 2023 |
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 |
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| April 20, 2023 |
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) |
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| April 13, 2023 |
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 |
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| April 12, 2023 |
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 |
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| April 11, 2023 |
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. |
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| April 10, 2023 |
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) |
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| 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 |
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| April 6, 2023 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 5, 2023 |
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. |
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| April 5, 2023 |
Table of contents PRELIMINARY PROXY STATEMENT — SUBJECT TO COMPLETION DATED APRIL 5, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 31, 2023 |
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. |
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| March 31, 2023 |
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 |
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| March 27, 2023 |
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 |
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| March 27, 2023 |
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. |
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| March 27, 2023 |
Table of contents PRELIMINARY PROXY STATEMENT — SUBJECT TO COMPLETION DATED MARCH 27, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 27, 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): 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 |
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| March 27, 2023 |
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. |
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| March 27, 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): 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 |
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| March 21, 2023 |
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. |
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| March 21, 2023 |
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 |
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| March 9, 2023 |
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 |
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| March 9, 2023 |
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 |
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| March 9, 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): 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 |
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| March 9, 2023 |
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. |
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| March 9, 2023 |
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 |
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| February 24, 2023 |
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 |
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| 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 |
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| February 14, 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): 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 |
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| February 7, 2023 |
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 |
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| January 27, 2023 |
SC 13G/A 1 bwen13g2022.txt GRACE & WHITE, INC. 13G BWEN UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A 12/31/22 Under the Securities Exchange Act of 1934 (Amendment No.10) BROADWIND,INC. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 11161T207 (CUSIP Number) Check the following box if a fee is being paid with this statement [ |
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| January 19, 2023 |
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 |
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| 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 |
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| 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 |
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| 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 |
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| January 18, 2023 |
Investor Presentation dated January 2023 EX-99.1 2 ex464709.htm EXHIBIT 99.1 Exhibit 99.1 |
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| January 18, 2023 |
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 |
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| January 18, 2023 |
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 |
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| November 8, 2022 |
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 |
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| November 8, 2022 |
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 |
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| November 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 8, 2022 |
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 |
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| November 4, 2022 |
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 |
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| November 4, 2022 |
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 |
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| 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 |
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| September 12, 2022 |
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 |
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| September 12, 2022 |
$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 |
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| August 12, 2022 |
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 |
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| August 12, 2022 |
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 |
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| 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?) |
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| August 9, 2022 |
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 |
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| August 9, 2022 |
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 |
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| August 9, 2022 |
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. |
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| August 9, 2022 |
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 |
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| August 9, 2022 |
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 |
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| August 9, 2022 |
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 |
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| 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 |
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| August 8, 2022 |
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 |
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| August 8, 2022 |
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 |
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| 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 |
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| May 27, 2022 |
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 |
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| May 27, 2022 |
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 |
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| May 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 6, 2022 |
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 |
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| May 6, 2022 |
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 |
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| May 6, 2022 |
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 |
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| April 29, 2022 |
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 |
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| March 14, 2022 |
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 |
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| March 14, 2022 |
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 |
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| March 7, 2022 |
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 |
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| March 4, 2022 |
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 |
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| March 2, 2022 |
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., |
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| March 2, 2022 |
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 |
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| March 2, 2022 |
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 |
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| March 2, 2022 |
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 |
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| March 2, 2022 |
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. |
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| March 2, 2022 |
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 |
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| February 3, 2022 |
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 |
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| February 3, 2022 |
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 |
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| 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 |
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| February 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A 12/31/21 Under the Securities Exchange Act of 1934 (Amendment No.9) BROADWIND,INC. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 11161T207 (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) |
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| November 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 10, 2021 |
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 |
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| November 10, 2021 |
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 |
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| November 10, 2021 |
As filed with the Securities and Exchange Commission on November 10, 2021 Registration No. |
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| November 10, 2021 |
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 |
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| November 10, 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 |
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| October 12, 2021 |
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 |
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| September 9, 2021 |
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 |
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| September 9, 2021 |
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 |
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| August 6, 2021 |
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 |
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| August 6, 2021 |
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) |
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| August 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 6, 2021 |
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 |
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| May 27, 2021 |
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 |
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| May 27, 2021 |
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 |
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| May 27, 2021 |
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 |
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| May 27, 2021 |
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 |
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| May 7, 2021 |
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 |
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| May 7, 2021 |
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 |
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| May 7, 2021 |
As filed with the Securities and Exchange Commission on May 7, 2021 Registration No. |
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| May 7, 2021 |
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 |
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| May 7, 2021 |
Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 5, 2021 |
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 |
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| 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. ) 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 |
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| 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 |
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| March 18, 2021 |
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 |
