BROADWIND, INC. — Director's Dealing 2013

Oct 28, 2013

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2013-10-24

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2013-10-24	Common Stock	F	10671	$7.99	Disposed	74234	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
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 vesting of the restricted stock units by directing the Issuer to withhold shares otherwise issuable pursuant to the vesting.

F2: On October 24, 2013, the Reporting Person and the Issuer entered into a Separation Agreement (the "Separation Agreement"), pursuant to which the Reporting Person's employment with the Issuer will terminate as of the close of business on December 31, 2013, or such earlier date as determined by the Issuer's Board of Directors or Chief Executive Officer (but in any event no earlier than November 24, 2013).

F3: Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated October 24, 2013.

F4: 100% vested.

F5: 771 shares vest on 3/9/11 and 770 shares vest on 3/9/12, 3/9/13 and 3/9/14.

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 5,401shares vest on 5/4/14, 5/4/15 and 5/4/16.