BROADWIND, INC. — Director's Dealing 2013

Feb 25, 2013

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2013-02-21

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2013-02-21	Common Stock	A	61233	—	Acquired	144018	Direct
2013-02-21	Common Stock	A	21794	—	Acquired	165812	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	3976	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$99.90	2019-07-29	Common Stock (2500)	2500	Direct
Stock Option (Right to Buy)	$54.40	2020-03-09	Common Stock (5323)	5323	Direct
Stock Option (Right to Buy)	$13.50	2021-03-07	Common Stock (14910)	14910	Direct
Stock Option (Right to Buy)	$3.40	2022-05-04	Common Stock (34129)	34129	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 split.

F2: Includes (i) 625 shares of restricted stock units that vest on 7/29/13; (ii) 709 shares of restricted stock units that vest on each of 3/9/13 and 3/9/14; (iii) 8,820 shares of restricted stock units that vest 2,940 shares on each of 3/7/13, 3/7/14 and 3/7/15; (iv) 34,129 shares of restricted stock units that vest 8,532 shares on each of 5/4/13, 5/4/14, 5/4/15 and 8,533 shares on 5/4/16; and (v) 61,233 shares of restricted stock units that vest 20,411 shares on each of 2/21/14, 2/21/15 and 2/21/16.

F3: Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated February 22, 2013.

F4: This option was previously reported as covering 25,000 shares at an exercise price of $9.99 but was adjusted to reflect the stock split that occurred on 8/22/12. 625 shares vest on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.

F5: This option was previously reported as covering 53,233 shares at an exercise price of $5.44 but was adjusted to reflect the stock split that occurred on 8/22/12. 1,330 shares vest on 3/9/11 and 1,331 shares vest on each of 3/9/12, 3/9/13 and 3/9/14.

F6: This option was previously reported as covering 149,107 shares at an exercise price of $1.35 but was adjusted to reflect the stock split that occurred on 8/22/12. 3,727 shares vest on each of 3/7/12 and 3/7/14 and 3,728 shares vest on each of 3/7/13 and 3/7/15.

F7: This option was previously reported as covering 341,296 shares at an exercise price of $.34 but was adjusted to reflect the stock split that occurred on 8/22/12. 8,532 shares vest on each of 5/4/13, 5/4/14 and 5/14/15 and 8,533 shares vest on 5/4/16.