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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2013-02-21	Common Stock	A	37333	—	Acquired	74764	Direct
2013-02-21	Common Stock	A	18818	—	Acquired	93582	Direct
2013-02-21	Common Stock	F	6144	$3.00	Disposed	87438	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	4104	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: Includes (i) 500 shares of restricted stock units that vest on 10/17/13; (ii) 287 shares of restricted stock units that vest on 4/29/13; (iii) 820 shares of restricted stock units that vest in 410 share increments on each of 3/9/13 and 3/9/14; (iv) 2,000 shares of restricted stock units that vest in 1,000 share increments on each of 9/9/13 and 9/9/14; (v) 5,546 shares of restricted stock units that vest ratably in three increments on each of 3/7/13, 3/7/14 and 3/7/15; (vi) 21,603 shares of restricted stock units that vest 5,400 shares on 5/4/13 and in 5,401 share increments on each of 5/4/14, 5/4/15 and 5/4/16 and (vii) 37,333 shares of restricted stock units that vest 12,444 shares on each of 2/21/14 and 2/21/15 and 12,445 shares on 2/21/16.

F2: This number was increased by one share pursuant to a rounding calculation to the unvested March 7 restricted stock units.

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: 1,500 shares vest on each of 8/8/09, 8/8/10, 8/8/11, 8/8/12 and 8/8/13.

F5: 598 shares vest on each of 4/29/10 and 4/29/11 and 599 shares vest on 4/29/12 and 4/29/13.

F6: 771 shares vest on 3/9/11 and 770 shares vest on 3/9/12, 3/9/13 and 3/9/14.

F7: 2,343 shares vest on 3/7/12 and 2,344 shares vest on 3/7/13, 3/7/14 and 3/7/15.

F8: 5,400 shares vest on 5/4/13 and 5,401shares vest on 5/4/14, 5/4/15 and 5/4/16.