BROADWIND, INC. — Director's Dealing 2016

Apr 27, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2016-04-25

Reporting Person: REILAND DAVID P (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-04-25	Common Stock	F	2534	$3.25	Disposed	32512	Direct
2016-04-26	Common Stock	A	10736	—	Acquired	43248	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$102.50	2018-04-16	Common Stock (2500)	2500	Direct
Phantom Stock	$		Common Stock (4509)	4509	Direct

Footnotes

F1: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of a prior restricted stock unit grant by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grant.

F2: Includes 10,736 restricted stock units that vest on 4/26/17.

F3: 100% vested.

F4: Each share of phantom stock is the economic equivalent of one share of Broadwind Energy, Inc. common stock.

F5: Phantom stock credited to participant's account in 2009 and 2011 pursuant to and under the conditions of the Broadwind Energy, Inc. Deferred Compensation Plan. The value of the participant's account shall be paid to the participant in a single lump-sum payment, in cash, on the earliest of the participant's separation from service, death or change-in-control.