BROADWIND, INC. — Director's Dealing 2015

Nov 18, 2015

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2015-11-12

Reporting Person: AWM Investment Company, Inc. (10% Owner)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	2057471	Indirect

Footnotes

F1: AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Technology Fund, L.P. (TECH) and Special Situations Technology Fund II, L.P. (TECH II and together with QP, CAYMAN, SSPE and TECH, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over. 1,082,801 shares of Common Stock of the Issuer (the Shares) held by QP, 360,626 Shares held by CAYMAN, 86,378 Shares held by TECH and 527,666 Shares held by TECH II.

F2: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM.
The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not
be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the
Securities Exchange Act of 1934, as amended, or for any other purpose.