BROADWIND, INC. — Director's Dealing 2016

Feb 23, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2016-02-19

Reporting Person: Fell David W. (VP, General Counsel and Secy)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-02-19	Common Stock	F	692	$1.79	Disposed	22887	Direct
2016-02-22	Common Stock	F	1187	$1.77	Disposed	21700	Direct
2016-02-22	Common Stock	A	17870	—	Acquired	39570	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	3815	Indirect

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: Represents 17,870 restricted stock units that vest 5,956 shares on 2/22/17 and 5,957 shares on each of 2/22/18 and 2/22/19.

F3: Includes (i) 1,214 restricted stock units that vest on 2/20/17; (ii) 3,800 restricted stock units that vest in 1,900 share increments on each of 2/19/17 and 2/19/18; and (iii) 17,870 restricted stock units that vest 5,956 shares on 2/22/17 and 5,957 shares on each of 2/22/18 and 2/22/19.