As filed with the Securities and Exchange Commission on May 25, 2023
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933
______________________
BROADWIND, INC.
(Exact name of registrant as specified in its charter)
Delaware | 3240 S. Central Avenue Cicero, IL 60804 | 88-0409160 |
(State or other jurisdiction of | (Address of Principal Executive Offices) | (IRS Employer Identification No.) |
Incorporation or organization) |
Amended and Restated Broadwind, Inc. 2015 Equity Incentive Plan
(Full title of the plan)
Eric B. Blashford
President, Chief Executive Officer
Broadwind, Inc.
3240 S. Central Avenue
Cicero, Illinois 60804
Telephone: (708) 780-4800
(Name, address and telephone number,
including area code, of agent for service)
Copy to:
Michele C. Kloeppel, Esq.
Thompson Coburn LLP
One U.S. Bank Plaza
St. Louis, Missouri 63101
Telephone: (314) 552-6000
Facsimile: (314) 552-7000
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer ☐ Accelerated filer ☐ Non-accelerated filer ☒ Smaller reporting company ☒
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐
EXPLANATORY NOTE
The undersigned, Broadwind, Inc., a Delaware corporation (the “Registrant”), hereby files this registration statement on Form S-8 (this “Registration Statement”) to register 1,500,000 additional shares (the “Additional Shares”) of common stock, par value $0.001 per share (the “Common Stock”), to participants under the Amended and Restated Broadwind, Inc. 2015 Equity Incentive Plan, as amended (the “Plan”). The Additional Shares are in addition to the Common Stock previously registered for issuance under the Plan by registration statements on Form S-8 (Registration No. 333-203736) filed April 30, 2015, on Form S-8 (Registration No. 333-231051) filed April 26, 2019 and on Form S-8 (Registration No. 333-255892) filed May 7, 2021 (together, the “Prior Registration Statements”).
This Registration Statement relates to securities of the same class as that to which the Prior Registration Statements relate, and is submitted in accordance with General Instruction E to Form S-8 regarding registration of additional securities. Pursuant to such instruction, the contents of the Prior Registration Statements, including exhibits thereto, are incorporated herein by reference, except to the extent superseded or modified by the specific information set forth below or the specific exhibits attached hereto.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 3. Incorporation of Certain Documents by Reference.
The following documents filed by the Registrant with the SEC are incorporated herein by reference:
(a) The Registrant’s Annual Report on Form 10-K for the year ended December 31, 2022, filed March 9, 2023;
(b) The Registrant’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2023 filed May 11, 2023;
(c) The Registrant’s Current Reports on Form 8-K (specifically excluding the information furnished under Items 2.02 and 7.01 and any exhibits furnished thereto), filed January 19, 2023, February 14, 2023, March 27, 2023 and May 25, 2023;
(d) The description of the Common Stock as set forth in the Registrant’s registration statement on Form 8-A filed with the SEC on April 8, 2009 (File No. 001-34278) pursuant to Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), including any amendments or reports filed for the purpose of updating such description; and
(e) The description of the Series A Rights as set forth in the Registrant’s registration statement on Form 8-A filed with the SEC on February 13, 2013 (File No. 001-34278), Form 8-A/A (Amendment No. 1) filed with the SEC on February 8, 2016 (File No. 001-34278), Form 8-A/A (Amendment No. 2) filed with the SEC on February 12, 2019 (File No. 001-34278) and Form 8-A/A (Amendment No. 3) filed with the SEC on February 3, 2022 (File No. 001-34278) pursuant to Section 12 of the Exchange Act, including any amendments or reports filed for the purpose of updating such description.
All documents filed by the Registrant pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act, after the date of this Registration Statement and prior to the filing of a post-effective amendment which indicates that all securities offered hereby have been sold or which deregisters all securities remaining unsold, shall be deemed to be incorporated by reference in this Registration Statement and to be made a part hereof from the date of filing of such documents. Any statements contained herein or in a document incorporated herein by reference shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained in a subsequently filed document incorporated herein by reference modifies or supersedes such document. Any statement so modified or superseded shall not be deemed, except as so modified or superseded, to constitute a part of this Registration Statement.
Where any document or part thereof is incorporated by reference in this Registration Statement, the Registrant will provide without charge to each person to whom a prospectus with respect to the Plan is delivered, upon written or oral request of such person, a copy of any and all of the information incorporated by reference in this Registration Statement, excluding exhibits unless such exhibits are specifically incorporated by reference.
Item 8. Exhibits.
See Exhibit Index.
Exhibit Index
The following exhibits are filed or incorporated by reference as part of this registration statement:
* Filed herewith.
Signatures
Pursuant to the requirements of the Securities Act, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Cicero, State of Illinois on May 25, 2023.
BROADWIND, INC.
By: /s/ Thomas A. Ciccone
Thomas A. Ciccone
Vice President, Chief Financial Officer
(Principal Financial Officer)
KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned officers and directors of the Registrant do hereby severally and individually constitute and appoint Eric B. Blashford and Thomas A. Ciccone, and each of them (with full power to act alone and with full power of substitution and re-substitution), lawful attorney-in-fact and agent with full power and authority to do any and all acts and things and to execute any and all instruments that said attorney and agent determines may be necessary or advisable or required to enable said corporation to comply with the Securities Act and any rules or regulations or requirements of the SEC in connection with this Registration Statement. Without limiting the generality of the foregoing power and authority, the powers granted include the power and authority to sign the names of the undersigned officers and directors in the capacities indicated below to this Registration Statement, to any and all amendments, both pre-effective and post-effective, and supplements to this Registration Statement, and to any and all instruments or documents filed as part of or in conjunction with this Registration Statement or amendments or supplements thereof, and each of the undersigned hereby ratifies and confirms that said attorney and agent shall do or cause to be done by virtue hereof.
IN WITNESS WHEREOF, each of the undersigned has executed this Power of Attorney as of the date indicated.
Signature | Title | Date |
/s/ Eric B. Blashford | President, Chief Executive Officer, | May 25, 2023 |
Eric B. Blashford | and Director | |
(Principal Executive Officer) | ||
| ||
/s/ Thomas A. Ciccone | Vice President and Chief Financial Officer | May 25, 2023 |
Thomas A. Ciccone | (Principal Financial Officer) | |
/s/ Cary B. Wood | Chairman of the Board | May 25, 2023 |
Cary B. Wood | ||
/s/ Philip J. Christman | Director | May 25, 2023 |
Philip J. Christman | ||
/s/ Sachin M. Shivaram | Director | May 25, 2023 |
Sachin M. Shivaram | ||
/s/ David P. Reiland | Director | May 25, 2023 |
David P. Reiland | ||
/s/ Thomas A. Wagner | Director | May 25, 2023 |
Thomas A. Wagner | ||
/s/ Jeanette A. Press | Director | May 25, 2023 |
Jeanette A. Press | ||