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: FOX TERENCE P (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-04-25	Common Stock	F	2845	$3.25	Disposed	273530	Direct
2016-04-26	Common Stock	A	10736	—	Acquired	284266	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	200000	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Phantom Stock	$		Common Stock (519)	519	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: Each share of phantom stock is the economic equivalent of one share of Broadwind Energy, Inc. common stock.

F4: Phantom stock credited to participant's account in 2008 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.