BROADWIND, INC. — Director's Dealing 2012

Aug 20, 2012

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2012-08-16

Reporting Person: KUSHNER STEPHANIE K (Exec. VP and CFO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2012-08-16	Common Stock	P	100000	$.2175	Acquired	827879	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	24404	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$9.99	2019-07-29	Common Stock (25000)	25000	Direct
Stock Option (Right to Buy)	$5.44	2020-03-09	Common Stock (53233)	53233	Direct
Stock Option (Right to Buy)	$1.35	2021-03-07	Common Stock (149107)	149107	Direct
Stock Option (Right to Buy)	$.34	2022-05-04	Common Stock (341296)	341296	Direct

Footnotes

F1: Includes (i) 6,250 shares of restricted stock units that vest on 7/29/13; (ii) 7,094 shares of restricted stock units that vest on 3/9/13 and 3/9/14; (iii) 88,205 shares of restricted stock units that vest 29,402 shares on 3/7/13, 29,401 shares on 3/7/14 and 29,402 shares on 3/7/15; and (iv) 341,296 shares of restricted stock units that vest 85,324 shares on each of 5/4/13, 5/4/14, 5/4/15 and 5/4/16.

F2: Includes additional shares received based on a plan statement dated as of August 17, 2012.

F3: 6,250 shares vest on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.

F4: 13,309 shares vest on 3/9/11 and 13,308 shares vest on each of 3/9/12, 3/9/13 and 3/9/14.

F5: 37,276 shares vest on 3/7/12 and 37,277 shares vest on 3/7/13, 3/7/14 and 3/7/15.

F6: 85,324 shares vest on 5/4/13, 5/4/14, 5/4/15 and 5/4/16.