0000914190-13-000857.txt : 20131211 0000914190-13-000857.hdr.sgml : 20131211 20131211151814 ACCESSION NUMBER: 0000914190-13-000857 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131211 FILED AS OF DATE: 20131211 DATE AS OF CHANGE: 20131211 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BROADWIND ENERGY, INC. CENTRAL INDEX KEY: 0001120370 STANDARD INDUSTRIAL CLASSIFICATION: NONFERROUS FOUNDRIES (CASTINGS) [3360] IRS NUMBER: 880409160 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3240 S. CENTRAL AVENUE CITY: CICERO STATE: IL ZIP: 60804 BUSINESS PHONE: 708-780-4800 MAIL ADDRESS: STREET 1: 3240 S. CENTRAL AVENUE CITY: CICERO STATE: IL ZIP: 60804 FORMER COMPANY: FORMER CONFORMED NAME: TOWER TECH HOLDINGS INC. DATE OF NAME CHANGE: 20060210 FORMER COMPANY: FORMER CONFORMED NAME: BLACKFOOT ENTERPRISES INC DATE OF NAME CHANGE: 20000726 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Duprey Peter C. CENTRAL INDEX KEY: 0001505863 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34278 FILM NUMBER: 131270776 MAIL ADDRESS: STREET 1: 333 NORTH CANAL STREET STREET 2: UNIT 3001 CITY: CHICAGO STATE: IL ZIP: 60606 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-12-11 0001120370 BROADWIND ENERGY, INC. BWEN 0001505863 Duprey Peter C. 3240 S. CENTRAL AVENUE CICERO IL 60804 1 1 0 0 President and CEO Common Stock 2013-12-11 4 P 0 5000 5.321 A 237733 D Common Stock 2013-12-11 4 P 0 5000 5.3337 A 242733 D Common Stock 6337.5759 I By 401(k) Plan Stock Option (Right to Buy) 17.70 2020-11-15 Common Stock 22000 22000 D Stock Option (Right to Buy) 3.40 2022-05-04 Common Stock 58083 58083 D Includes 4,500 restricted stock units that vest on 11/15/14; (ii)) 43,563 restricted stock units that vest in 14,521 share increments on each of 5/4/14, 5/4/15 and 5/4/16; and (iii) 97,500 restricted stock units that vest in 32,500 share increments on each of 2/21/14, 2/21/15 and 2/21/16. Reflects the current number of shares held in Reporting Person's 401(k) plan based on a plan statement dated February 22, 2013. 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. /s/ David W. Fell as Attorney-in-Fact for Peter C. Duprey pursuant to Power of Attorney filed herewith. 2013-12-11 EX-24 2 dupreypoa.htm DUPREY POWER OF ATTORNEY

POWER OF ATTORNEY

 The undersigned hereby constitutes and appoints David W. Fell, Jason

L. Bonfigt, Ryan C. Brauer and Elizabeth M. Dunshee ("Attorneys-in-Fact"),

or any one of them acting alone, the undersigned's true and lawful attorney-

in-fact and agent with full power of substitution and resubstitution, for

the undersigned and in the undersigned's name, place and stead, in any and

all capacities, to sign any or all Forms 3, 4 or 5 relating to beneficial

ownership of securities of Broadwind Energy, Inc. (the "Issuer"), to file

the same, with all exhibits thereto and other documents in connection

therewith, with the Securities and Exchange Commission and to deliver a copy

of the same to the Issuer, granting unto each such attorney-in-fact and

agent full power and authority to do and perform each and every act and

thing requisite and necessary to be done in and about the premises, as fully

to all intents and purposes as the undersigned might or could do in person,

hereby ratifying and confirming all said attorney-in-fact and agent, or his

or her substitute or substitutes, may lawfully do or cause to be done by

virtue thereof.  The undersigned acknowledges that each such attorney-in-

fact, in serving in such capacity at the request of the undersigned, is not

assuming any of the undersigned's responsibilities to comply with Section 16

of the Securities Exchange Act of 1934, as amended (the "Exchange Act").



 This Power of Attorney shall remain in effect until such time as the

undersigned is no longer subject to the provisions of the Exchange Act with

respect to securities of the Issuer or until this Power of Attorney is

replaced by a later dated Power of Attorney or revoked by the undersigned in

writing.



 The undersigned hereby indemnifies the Attorneys-in-Fact for all

losses and costs the Attorneys-in-Fact may incur in connection with or

arising from their execution of their authorities granted hereunder, with

the exception of any willful misconduct or gross negligence.



 IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney

to be executed as of this 25th day of July, 2013.





    Signature:  /s/ Peter C. Duprey



    Print Name:  Peter C. Duprey