BROADWIND, INC. — Director's Dealing 2017

Feb 23, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2017-02-21

Reporting Person: KUSHNER STEPHANIE K (Director, Pres, CEO, CFO and Treasurer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-02-21	Common Stock	A	41382	—	Acquired	323089	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	5883	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$99.90	2019-07-29	Common Stock (2500)	2500	Direct
Stock Option (Right to Buy)	$54.40	2020-03-09	Common Stock (5323)	5323	Direct
Stock Option (Right to Buy)	$13.50	2021-03-07	Common Stock (14910)	14910	Direct
Stock Option (Right to Buy)	$3.40	2022-05-04	Common Stock (34129)	34129	Direct

Footnotes

F1: Represents 41,382 restricted stock units that vest 13,794 shares on each of 2/21/18, 2/21/19 and 2/21/20.

F2: Includes (i) 10,189 restricted stock units that vest on 2/19/18; (ii) 50,280 restricted stock units that vest 25,140 shares on each of 2/22/18 and 2/22/19; and (iii) 41,382 restricted stock units that vest 13,794 shares on each of 2/21/18, 2/21/19 and 2/21/20.

F3: 625 shares vested on each of 7/29/10, 7/29/11, 7/29/12 and 7/29/13.

F4: 1,330 shares vested on 3/9/11 and 1,331 shares vested on each of 3/9/12, 3/9/13 and 3/9/14.

F5: 3,727 shares vested on each of 3/7/12 and 3/7/14 and 3,728 shares vested on each of 3/7/13 and 3/7/15.

F6: 8,532 shares vested on each of 5/4/13, 5/4/14 and 5/4/15 and 8,533 shares vested on 5/4/16.