BROADWIND, INC. — Director's Dealing 2012

Sep 12, 2012

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2012-09-09

Reporting Person: Collins Jesse E. Jr. (Executive VP and COO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2012-09-09	Common Stock	F	235	$2.00	Disposed	37563	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	2336	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$178.00	2018-08-08	Common Stock (7500)	7500	Direct
Stock Option (Right to Buy)	$77.80	2019-04-29	Common Stock (2394)	2394	Direct
Stock Option (Right to Buy)	$54.40	2020-03-09	Common Stock (3081)	3081	Direct
Stock Option (Right to Buy)	$13.50	2021-03-07	Common Stock (9375)	9375	Direct
Stock Option (Right to Buy)	$3.40	2022-05-04	Common Stock (21603)	21603	Direct

Footnotes

F1: The reporting person has elected to satisfy his tax withholding obligation in connection with the restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the grant.

F2: On 8/22/12, the Company completed a one-for-ten reverse stock split. All common stock amounts and exercise prices in the filing relating to securities acquired prior to 8/22/12 have been adjusted to reflect the one-for-ten reverse stock split.

F3: Includes (i) 1,000 shares of restricted stock units that vest in 500 share increments on each of 10/17/12 and 10/17/13; (ii) 287 shares of restricted stock units that vest on 4/29/13; (iii) 821 shares of restricted stock units that vest in 410 share increments on each of 3/9/13 and 3/9/14; (iv) 2,000 shares of restricted stock units that vest in 1,000 share increments on each of 9/9/13 and 9/9/14; (v) 5,545 shares of restricted stock units that vest in 1,848 share increments on each of 3/7/13, 3/7/14 and 3/7/15 and (vi) 21,603 shares of restricted stock units that vest 5,400 shares on 5/4/13 and in 5,401share increments on each of 5/4/14, 5/4/15 and 5/4/16.

F4: This option was previously reported as covering 75,000 shares at an exercise price of $17.80, but was adjusted to reflect the stock split that occurred on 8/22/12. 1,500 shares vest on each of 8/8/09, 8/8/10, 8/8/11, 8/8/12 and 8/8/13.

F5: This option was previously reported as covering 23,943 shares at an exercise price of $7.78 but was adjusted to reflect the stock split that occurred on 8/22/12. 598 shares vest on each of 4/29/10 and 4/29/11 and 599 shares vest on 4/29/12 and 4/29/13.

F6: This option was previously reported as covering 30,819 shares at an exercise price of $5.44 but was adjusted to reflect the stock split that occurred on 8/22/12. 771 shares vest on 3/9/11 and 770 shares vest on 3/9/12, 3/9/13 and 3/9/14.

F7: This option was previously reported as covering 93,750 shares at an exercise price of $1.35 but was adjusted to reflect the stock split that occurred on 8/22/12. 2,343 shares vest on 3/7/12, 2,344 shares vest on 3/7/13, 2,343 shares vest on 3/7/14 and 2,344 shares vest on 3/7/15.

F8: This option was previously reported as covering 216,039 shares at an exercise price of $.34 but was adjusted to reflect the stock split that occurred on 8/22/12. 5,400 shares vest on 5/4/13 and 5,401shares vest on 5/4/14, 5/4/15 and 5/4/16.