BROADWIND, INC. — Director's Dealing 2014

Mar 3, 2014

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2014-02-20

Reporting Person: Duprey Peter C. (Director, President and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2014-02-20	Common Stock	A	35890	—	Acquired	267901	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	6678	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$17.70	2020-11-15	Common Stock (22000)	22000	Direct
Stock Option (Right to Buy)	$3.40	2022-05-04	Common Stock (58083)	58083	Direct

Footnotes

F1: Includes (i) 4,500 restricted stock units that vest on 11/15/14; (ii) 43,563 restricted stock units that vest in 14,521 share increments on each of 5/4/14, 5/4/15 and 5/4/16; (iii) 65,000 restricted stock units that vest in 32,500 share increments on each of 2/21/15 and 2/21/16; and (iv) 35,890 restricted stock units that vest 11,963 shares on each of 2/20/15 and 2/20/16 and 11,964 shares on 2/20/17.

F2: Reported amount reflects current ownership as of the date of this filing.

F3: 5,500 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.

F4: 14,520 shares vest on 5/4/13 and 14,521 shares vest on each of 5/4/14, 5/4/15 and 5/4/16.