Offerings // BROADWIND, INC.

BWEN offering history

Every offering-related filing in BROADWIND, INC.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 1,001 filings back to Jul 14, 2009.

Last executed offering

Sep 12, 2022

424B5 — priced deal (shares or notes)

Last registration (announced)

Sep 22, 2023

S-3 — capacity, not a sale

Executed, last 12 months

424B pricings + 8-K 3.02 sales

Registered, last 12 months

S-1/S-3/F-series registrations

Date	Filing		What it means
Oct 12, 2023	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 22, 2023	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Sep 12, 2022	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Mar 9, 2021	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Oct 13, 2020	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Oct 8, 2020	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Aug 18, 2020	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Jul 31, 2018	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Oct 10, 2017	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 28, 2017	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Aug 11, 2017	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Feb 25, 2013	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Feb 25, 2013	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Sep 16, 2011	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Sep 15, 2011	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Aug 26, 2011	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Aug 22, 2011	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Aug 5, 2011	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Apr 1, 2010	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Apr 1, 2010	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jan 15, 2010	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Jan 14, 2010	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jan 14, 2010	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jan 6, 2010	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jan 5, 2010	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Dec 10, 2009	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Dec 2, 2009	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Nov 6, 2009	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Nov 2, 2009	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Oct 30, 2009	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Aug 18, 2009	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Aug 17, 2009	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Aug 13, 2009	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jul 14, 2009	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet

BWEN offering-related filings from SEC EDGAR, newest first (capped at 40). Each links to the original document.

Two honest limits. (1) A 424B takedown can price shares or notes— EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.

Is a shelf active now? →Do they need money? →Red flags →Full BWEN workspace →

BWEN offering FAQ

When did BWEN last execute an offering?

Per SEC filings, BROADWIND, INC.'s most recent priced offering document is a 424B5 filed 2022-09-12. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did BWEN last announce or register an offering?

The most recent registration is a S-3 filed 2023-09-22. A registration is capacity to sell shares — not a sale.

Does an offering always mean dilution?

Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.