BROADWIND, INC. — Director's Dealing 2017

Feb 23, 2017

SEC Form 3 — Initial Statement of Beneficial Ownership

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

Reporting Person: Reisinger Joseph V. (VP, Business Development)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	28157	Direct
Common Stock	1590	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$3.40	2022-05-04	Common Stock (3076)		Direct

Footnotes

F1: Includes (i) 1,430 restricted stock units that vest on 2/19/18; and (ii) 8,755 restricted stock units that vest 4,377 shares on 2/22/18 and 4,378 shares on 2/22/19.

F2: 769 shares vested on each of 5/4/13, 5/4/14, 5/4/15 and 5/4/16.