X0306 4 2012-09-04 0001120370 BROADWIND ENERGY, INC. BWEN 0001505863 Duprey Peter C. 47 EAST CHICAGO AVENUE SUITE 332 NAPERVILLE IL 60540 1 1 0 0 President and CEO Common Stock 2012-09-04 4 P 0 1700 1.77 A 87783 D Common Stock 2012-09-04 4 P 0 8300 1.78 A 96083 D Common Stock 2622 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 On 8/22/12, the Company completed a one-for-ten reverse stock split. All common stock amounts and exercise prices in the filing relating to securities acquired prior to 8/22/12 have been adjusted to reflect the one-for-ten reverse stock split. Represents 13,500 of restricted stock units that vest in 4,500 share increments on each of 11/15/12, 11/15/13 and 11/15/14 and (ii) 58,083 of restricted stock units that vest in 14,520 share increments on each of 5/4/13 and 5/4/15 and in 14,521 share increments on 5/4/14 and 5/4/16. Represents shares received based on a plan statement dated as of September 5, 2012. This option was previously reported as covering 220,000 shares at an exercise price of $1.77, but was adjusted to reflect the stock split that occurred on 8/22/12. 5,500 shares vest on each of 11/15/11, 11/15/12, 11/15/13 and 11/15/14. This option was previously reported as covering 580,838 shares at an exercise price of $0.34, but was adjusted to reflect the stock split that occurred on 8/22/12. 14,520 shares vest on each of 5/4/13 and 5/4/15 and 14,521 share increments on 5/4/14 and 5/4/16. /s/ Peter C. Duprey 2012-09-06