BROADWIND, INC. — Director's Dealing 2012

Sep 6, 2012

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2012-09-04

Reporting Person: Duprey Peter C. (Director, President and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2012-09-04	Common Stock	P	1700	$1.77	Acquired	87783	Direct
2012-09-04	Common Stock	P	8300	$1.78	Acquired	96083	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	2622	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$17.70	2020-11-15	Common Stock (22000)	22000	Direct
Stock Option (Right to Buy)	$3.40	2022-05-04	Common Stock (58083)	58083	Direct

Footnotes

F1: 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.

F2: Represents 13,500 of restricted stock units that vest in 4,500 share increments on each of 11/15/12, 11/15/13 and 11/15/14 and (ii) 58,083 of restricted stock units that vest in 14,520 share increments on each of 5/4/13 and 5/4/15 and in 14,521 share increments on 5/4/14 and 5/4/16.

F3: Represents shares received based on a plan statement dated as of September 5, 2012.

F4: This option was previously reported as covering 220,000 shares at an exercise price of $1.77, but was adjusted to reflect the stock split that occurred on 8/22/12. 5,500 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.

F5: This option was previously reported as covering 580,838 shares at an exercise price of $0.34, but was adjusted to reflect the stock split that occurred on 8/22/12. 14,520 shares vest on each of 5/4/13 and 5/4/15 and 14,521 share increments on 5/4/14 and 5/4/16.