<SEC-DOCUMENT>0001437749-22-002390.txt : 20220203
<SEC-HEADER>0001437749-22-002390.hdr.sgml : 20220203
<ACCEPTANCE-DATETIME>20220203164539
ACCESSION NUMBER:		0001437749-22-002390
CONFORMED SUBMISSION TYPE:	8-A12B/A
PUBLIC DOCUMENT COUNT:		2
FILED AS OF DATE:		20220203
DATE AS OF CHANGE:		20220203

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			BROADWIND, INC.
		CENTRAL INDEX KEY:			0001120370
		STANDARD INDUSTRIAL CLASSIFICATION:	NONFERROUS FOUNDRIES (CASTINGS) [3360]
		IRS NUMBER:				880409160
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-A12B/A
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-34278
		FILM NUMBER:		22589290

	BUSINESS ADDRESS:	
		STREET 1:		3240 S. CENTRAL AVENUE
		CITY:			CICERO
		STATE:			IL
		ZIP:			60804
		BUSINESS PHONE:		708-780-4800

	MAIL ADDRESS:	
		STREET 1:		3240 S. CENTRAL AVENUE
		CITY:			CICERO
		STATE:			IL
		ZIP:			60804

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	BROADWIND ENERGY, INC.
		DATE OF NAME CHANGE:	20080304

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	TOWER TECH HOLDINGS INC.
		DATE OF NAME CHANGE:	20060210

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	BLACKFOOT ENTERPRISES INC
		DATE OF NAME CHANGE:	20000726
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-A12B/A
<SEQUENCE>1
<FILENAME>bwen20220201_8a12ba.htm
<DESCRIPTION>FORM 8-A12B/A
<TEXT>
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<p style="font-family:Times New Roman;font-size:18pt;font-variant:normal;text-align:center;margin:0pt;"><b>UNITED STATES</b></p>

<p style="font-family:Times New Roman;font-size:18pt;font-variant:normal;text-align:center;margin:0pt;"><b>SECURITIES AND EXCHANGE COMMISSION</b></p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>Washington, D.C. 20549</b></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:18pt;font-variant:normal;text-align:center;margin:0pt;"><b>FORM 8-A/A</b></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>(Amendment No. 3)</b></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES</b></p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>PURSUANT TO SECTION 12(b) OR (g) OF THE</b></p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>SECURITIES EXCHANGE ACT OF 1934</b></p>

<p style="text-align:center;font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;"><img alt="bwen20220201_8a12baimg001.jpg" src="bwen20220201_8a12baimg001.jpg" style="width:226;height:106;"></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:18pt;font-variant:normal;text-align:center;margin:0pt;"><b>BROADWIND, INC.</b></p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">(Exact Name of Registrant as Specified in Its Charter)</p>

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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>Delaware</b></p>
			</td>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;"><b>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;88-0409160</b></p>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">(State or Other Jurisdiction of Incorporation)</p>
			</td>
			<td style="vertical-align:top;width:2.5%;">&nbsp;</td>
			<td style="vertical-align:top;width:4.1%;">&nbsp;</td>
			<td style="vertical-align:top;width:33.3%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">(IRS Employer Identification No.)</p>
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<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>3240 South Central Avenue, Cicero, Illinois 60804</b></p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">(Address of Principal Executive Offices) (Zip Code)</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">Securities to be registered pursuant to Section 12(b) of the Act:</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

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			<td style="vertical-align:top;width:33.3%;">&nbsp;</td>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>Title of each class</b></p>

			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>to be so registered</b></p>
			</td>
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			<td style="vertical-align:top;width:4.1%;">&nbsp;</td>
			<td style="border-bottom:solid 1px #000000;vertical-align:top;width:33.3%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>Name of each exchange on which</b></p>

			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>Each class is to be registered</b></p>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">Preferred Stock Purchase Rights</p>
			</td>
			<td style="vertical-align:top;width:2.5%;">&nbsp;</td>
			<td style="vertical-align:top;width:4.1%;">&nbsp;</td>
			<td style="vertical-align:top;width:33.3%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">The NASDAQ Capital Market</p>
			</td>
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</table>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c) or (e), check the following box. &#9746;</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d) or (e), check the following box. &#9744;</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box. &#9744;</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">Securities Act registration statement file number to which this form relates: <b>N/A</b> (if applicable)</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">Securities to be registered pursuant to Section 12(g) of the Act:</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>None</b></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">(Title of Class)</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

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<p style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; margin: 0pt; text-align: left">&nbsp;</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>EXPLANATORY NOTE</b></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;text-indent:36pt;">This amendment hereby amends the registration statement on Form 8-A originally filed by Broadwind, Inc. (the &#8220;<b><i>Company</i></b>&#8221;) with the Securities and Exchange Commission on February 12, 2013, as amended by Amendment No. 1 filed with the Securities and Exchange Commission on February 8, 2016, and as amended by Amendment No. 2 filed with the Securities and Exchange Commission on February 12, 2019 by supplementing Items 1 and 2 with the following.</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;"><b>Item 1. </b>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<b>Description of Registrant</b>&#8217;<b>s Securities To Be Registered </b></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;text-indent:36pt;">On February 3, 2022, the Company entered into a Third Amendment to Section 382 Rights Agreement (the &#8220;<b><i>Third Amendment</i></b>&#8221;), which amends the Section 382 Rights Agreement, dated as of February 12, 2013, (the &#8220;<b><i>Rights Agreement</i></b>&#8221;), between the Company and Equiniti Trust Company, formerly Wells Fargo, National Association, as rights agent, as amended by the First Amendment to Section 382 Rights Agreement, dated as of February 5, 2016 and the Second Amendment to Section 382 Rights Agreement, dated as of February 7, 2019.</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;text-indent:36pt;">The Third Amendment (i) increases the purchase price for each one-thousandth of a share of the Company&#8217;s Series A Junior Participating Preferred Stock, par value $0.001 per share, from $4.25 to $7.26&nbsp;and (ii) extends the Final Expiration Date (as defined in the Rights Agreement) from February 22, 2022 to February 22, 2025. In addition, the Third Amendment provides that the Rights (as defined in the Rights Agreement) will no longer be exercisable if the Company&#8217;s stockholders do not approve the Third Amendment at the Company&#8217;s 2022 Annual Meeting of Stockholders.</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;text-indent:36pt;">The foregoing summary of the Third Amendment is qualified in its entirety by reference to the full text of the Rights Agreement, which is filed as <a href="http://www.sec.gov/Archives/edgar/data/1120370/000110465913010223/a13-5035_2ex1.htm" style="-sec-extract:exhibit;">Exhibit 1</a> to the Company&#8217;s Form 8-A filed on February 13, 2013 and is incorporated herein by reference, the First Amendment to the Rights Agreement, which is filed as <a href="http://www.sec.gov/Archives/edgar/data/1120370/000112037016000027/bwen-20160208ex415d97e00.htm" style="-sec-extract:exhibit;">Exhibit 4.1</a> to the Company&#8217;s Current Report on Form 8-K filed on February 8, 2016 and incorporated herein by reference, the Second Amendment, which is filed as <a href="http://www.sec.gov/Archives/edgar/data/1120370/000112037019000004/bwen-20190212ex41dfa1399.htm" style="-sec-extract:exhibit;">Exhibit 4.1</a> to the Company&#8217;s Current Report on Form 8-K filed on February 12, 2019 and incorporated herein by reference, and the Third Amendment, which is filed as Exhibit 4.1 to the Company&#8217;s Current Report on Form 8-K filed on February 3, 2022 and incorporated herein by reference.</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;"><b>Item 2 </b>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<b>Exhibits.</b></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>EXHIBIT INDEX</b></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;"><b><u>Exhibit Number </u></b></p>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;"><b><u>Description of Document</u></b></p>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">3.1</p>
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			<td style="vertical-align:top;width:89.3%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;"><a href="http://www.sec.gov/Archives/edgar/data/1120370/000110465913010223/a13-5035_2ex2.htm" style="-sec-extract:exhibit;"><u>Certificate of Designation of the Series A Junior Participating Preferred Stock of </u></a><a href="http://www.sec.gov/Archives/edgar/data/1120370/000110465913010223/a13-5035_2ex2.htm" style="-sec-extract:exhibit;"><u>the Company dated as of February 13, 2013 (incorporated by reference to Exhibit 2 of the Company</u>&#8217;<u>s Form 8-A, filed on February 13, 2013)</u></a></p>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">4.1</p>
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			<td style="vertical-align:top;width:89.3%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;"><a href="http://www.sec.gov/Archives/edgar/data/1120370/000110465913010223/a13-5035_2ex1.htm" style="-sec-extract:exhibit;"><u>Section 382 Rights Agreement, dated as of February 12, 2013, between the Company and </u></a><u>Equiniti Trust Company, formerly Wells Fargo, National Association, as rights agent (incorporated by reference to Exhibit 1 to the Company</u>&#8217;<u>s Form 8-A, filed on February 13, 2013)</u></p>
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			<td style="vertical-align:top;width:11.8%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">4.2</p>
			</td>
			<td style="vertical-align:top;width:89.3%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;"><a href="http://www.sec.gov/Archives/edgar/data/1120370/000112037016000027/bwen-20160208ex415d97e00.htm" style="-sec-extract:exhibit;"><u>First Amendment to Section 382 Rights Agreement, dated as of February 5, 2016, between the Company and </u></a><u>Equiniti Trust Company, formerly Wells Fargo, National Association, as rights agent (incorporated by reference to Exhibit 4.1 of the Company</u>&#8217;<u>s Current Report on Form 8-K, filed on February 8, 2016)</u></p>
			</td>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">4.3</p>
			</td>
			<td style="vertical-align:top;width:89.3%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;"><a href="http://www.sec.gov/Archives/edgar/data/1120370/000112037019000004/bwen-20190212ex41dfa1399.htm" style="-sec-extract:exhibit;">Second Amendment to Section 382 Rights Agreement dated as of February 7, 2019 between the Company and Equiniti Trust Company,<u>&nbsp;formerly Wells Fargo, National Association, as rights agent (incorporated by reference to Exhibit 4.1 to the Company</u>&#8217;<u>s Current Report on Form 8-K filed February 12, 2019)</u></a></p>
			</td>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">4.4</p>
			</td>
			<td style="vertical-align:top;width:89.3%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;"><a href="http://www.sec.gov/Archives/edgar/data/1120370/000143774922002385/ex_330655.htm" style="-sec-extract:exhibit;">Third Amendment to Section 382 Rights Agreement, dated as of February 3, 2022, between the Company and Equiniti Trust Company, as rights agent (incorporated by reference to Exhibit 4.1 of the Company&#8217;s Current Report on Form 8-K, filed on February 3, 2022)&nbsp;</a></p>
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<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

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<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>SIGNATURE</b></p>

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<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;text-indent:36pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

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			<td style="vertical-align:top;width:49.3%;">&nbsp;</td>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;"><b>BROADWIND,</b>&nbsp;<b>INC.</b></p>
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			<td style="vertical-align:top;width:49.3%;">&nbsp;</td>
			<td style="vertical-align:top;width:3.6%;">&nbsp;</td>
			<td style="vertical-align:top;width:47.1%;">&nbsp;</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:49.3%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">February 3, 2022</p>
			</td>
			<td style="vertical-align:top;width:3.6%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">By:</p>
			</td>
			<td style="border-bottom:solid 1px #000000;vertical-align:top;width:47.1%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">/s/ Eric B. Blashford</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:49.3%;">&nbsp;</td>
			<td style="vertical-align:top;width:3.6%;">&nbsp;</td>
			<td style="vertical-align:top;width:47.1%;">&nbsp;</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:49.3%;">&nbsp;</td>
			<td style="vertical-align:top;width:3.6%;">&nbsp;</td>
			<td style="vertical-align:top;width:47.1%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">Eric B. Blashford</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:49.3%;">&nbsp;</td>
			<td style="vertical-align:top;width:3.6%;">&nbsp;</td>
			<td style="vertical-align:top;width:47.1%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">President,&nbsp;Chief Executive Officer, and Interim Chief Financial Officer</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:49.3%;">&nbsp;</td>
			<td style="vertical-align:top;width:3.6%;">&nbsp;</td>
			<td style="vertical-align:top;width:47.1%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">(Principal Executive Officer and Principal Financial Officer)</p>
			</td>
		</tr>

</table>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

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