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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1120370	Broadwind Energy Inc.	BWEN	Nonferrous Foundries (Castings) (3360)	880409160

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1505863	C. Peter Duprey	3240 S. Central Avenue Cicero IL 60804	President And Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-10-31	10,000	$6.57	273,204	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	5,520	Indirect	By 401(k) Plan

Reported Derivative Holdings

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Option (Right to Buy)	$17.70		2020-11-15	22,000	22,000	Direct
Common Stock	Stock Option (Right to Buy)	$3.40		2022-05-04	58,083	58,083	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2020-11-15	22,000	22,000	Direct
2022-05-04	58,083	58,083	Direct

Footnotes

The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.51 to $6.609 inclusive. The reporting person undertakes to provide Broadwind Energy, Inc., any security holder of Broadwind Energy, Inc., or the staff of the Securities and Exchange Commission upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
Includes (i) 4,500 restricted stock units that vest on 11/15/14; (ii) 43,563 restricted stock units that vest in 29,042 share increments on each of 5/4/15 and 5/4/16; and (iii) 65,000 restricted stock units that vest in 32,500 share increments on each of 2/21/15 and 2/21/16.
Reflects the number of shares currently held in the reporting person's 401(k) plan account based on a plan statement dated November 3, 2014.
5,500 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14.
14,520 shares vest on 5/4/13 and 14,521 shares vest on each of 5/4/14, 5/4/15 and 5/4/16.