FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

FOX TERENCE P
2. Issuer Name and Ticker or Trading Symbol

BROADWIND, INC. [ BWEN ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

3240 S. CENTRAL AVENUE
3. Date of Earliest Transaction (MM/DD/YYYY)

5/1/2020
(Street)

CICERO, IL 60804
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 5/1/2020  A  22500 A$0 312252 (1)D  
Common Stock         200000 I By Terence P. Fox and Paula L. Fox Irrevocable Trust 2005 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Phantom Stock  (2)           (3) (3)Common Stock 519  519 D  

Explanation of Responses:
(1) Includes 22,500 restricted stock units that vest on 5/1/21.
(2) Each share of phantom stock is the economic equivalent of one share of Broadwind Energy, Inc. common stock.
(3) Phantom stock credited to participant's account in 2008 pursuant to and under the conditions of the Broadwind Energy, Inc. Deferred Compensation Plan. The value of the participant's account shall be paid to the participant in a single lump-sum payment, in cash, on the earliest of the participant's separation from service, death or change-in-control.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
FOX TERENCE P
3240 S. CENTRAL AVENUE
CICERO, IL 60804
X



Signatures
/s/ Thomas A. Ciccone as Attorney-in-Fact for Terence P. Fox pursuant to Power of Attorney filed herewith5/5/2020
**Signature of Reporting PersonDate

Broadwind (NASDAQ:BWEN)
Historical Stock Chart
From Mar 2024 to Apr 2024 Click Here for more Broadwind Charts.
Broadwind (NASDAQ:BWEN)
Historical Stock Chart
From Apr 2023 to Apr 2024 Click Here for more Broadwind Charts.