BROADWIND, INC. — Director's Dealing 2013

Nov 6, 2013

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2013-11-04

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2013-11-04	Common Stock	M	5400	$3.40	Acquired	79634	Direct
2013-11-04	Common Stock	S	5400	$7.03	Disposed	74234	Direct
2013-11-04	Common Stock	S	25000	$7.68	Disposed	49234	Direct
2013-11-05	Common Stock	S	15000	$7.38	Disposed	34234	Direct
2013-11-06	Common Stock	S	15890	$7.46	Disposed	18344	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2013-11-04	Stock Option (Right to Buy)	$3.40	M	5400	Disposed	2022-05-04	Common Stock (5400)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	5915	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

Footnotes

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.50 to $7.90 inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc., or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.29 to $7.51 inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc., or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.35 to $7.57 inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc., or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4: Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated October 24, 2013.

F5: 100% vested.

F6: 2,343 shares vest on 3/7/12 and 2,344 shares vest on 3/7/13, 3/7/14 and 3/7/15.

F7: 5,400 shares vest on 5/4/13 and 5,401 shares vest on 5/4/14, 5/4/15 and 5/4/16.

F8: 771 shares vest on 3/9/11 and 770 shares vest on 3/9/12, 3/9/13 and 3/9/14.