BROADWIND, INC. — Director's Dealing 2019

Aug 23, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2019-08-22

Reporting Person: KUSHNER STEPHANIE K (Director, President and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-08-22	Common Stock	P	10000	$1.80	Acquired	492190	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	15849.50	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
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: Includes (i) 13,794 restricted stock units that vest on 2/21/20; (ii) 41,800 restricted stock units that vest 20,900 shares on each of 2/20/20 and 2/20/21; and (iii) 96,401 restricted stock units that vest 32,133 shares on 4/23/20, and 32,134 shares on each of 4/23/21 and 4/23/22.

F2: 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.

F3: 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.

F4: 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.