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( Mark One ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 FORM 10 - K TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 Or Title of Class For the transition period from Delaware ( State of or other jurisdiction of incorporation or organization ) 3240 S. Central Avenue to Commission File Number 001-34278 B BROADWIND . BROADWIND , INC . ( Exact name of Registrant as specified in its charter ) Emerging growth company If an emerging growth company , to comply with any new or revised fina Cicero , Illinois 60804 ( Zip code ) ( Address of principal executive offices ) Securities registered pursuant to Section 12 ( b ) of the Exchange Registrant's telephone number , including area code : ( 708 ) 780 Act : 4800 Trading Symbol 88-0409160 ( I.R.S. Employer Identification No. ) Common Stock , $ 0.001 par value Indicate by check mark whether the Registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes No > Indicate by check mark if the Registrant is not required to file reports pursuant to Section 13 or 15 ( d ) of the Exchange Act . Yes No > Indicate by check mark whether the Registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Exchange Act during the preceding 12 months ( or for such shorter period that the Registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes > No Indicate by check mark whether the Registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( §232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the Registrant was required to submit such files ) . Yes No 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 Smaller reporting company Non - accelerated filer BWEN Name of Exchange on which Registered The Nasdaq Capital Market indicate by check mark if the registrant has elected not to use the extended transition period accounting standards provided pursuant to Section 13 ( a ) the Exchange Act . Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C.