BROADWIND, INC. — Director's Dealing 2020

Feb 24, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BROADWIND ENERGY, INC. (BWEN)
CIK: 0001120370
Period of Report: 2020-02-20

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-02-20	Common Stock	F	7232	$2.18	Disposed	484958	Direct
2020-02-21	Common Stock	F	4773	$2.15	Disposed	480185	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	19068	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: The reporting person has elected to satisfy her 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: Includes (i) 20,900 restricted stock units that vest on 2/20/21; and (ii) 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.

F3: 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.

F4: 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.

F5: 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.