BROADWIND, INC. — Director's Dealing 2018

Feb 21, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2018-02-20

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-02-20	Common Stock	A	8002	—	Acquired	39101	Direct
2018-02-20	Common Stock	F	495	$2.39	Disposed	38606	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	2340	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (Right to Buy)	$3.4	2022-05-04	Common Stock (3076)	3076	Direct

Footnotes

F1: Represents 8,002 restricted stock units that vest 2,667 shares on each of 2/20/19 and 2/20/20 and 2,668 shares on 2/20/21.

F2: The reporting person has elected to satisfy his withholding obligation in connection with the vesting of prior restricted stock unit grants by directing the Company to withhold shares otherwise issuable pursuant to the previously reported grants.

F3: Includes (i) 8,755 restricted stock units that vest 4,377 shares on 2/22/18 and 4,378 shares on 2/22/19; (ii) 5,386 restricted stock units that vest 1,795 shares on each of 2/21/18 and 2/21/19 and 1,796 shares on 2/21/20; and (iii) 8,002 restricted stock units that vest 2,667 shares on each of 2/20/19 and 2/20/20 and 2,668 shares on 2/20/21.

F4: 769 shares vested on each of 5/4/13, 5/4/14, 5/4/15 and 5/4/16.