XFRA:9IRA Broadwind Energy Inc Insider Activity 4 Filing - 5/4/2012

Effective Date 5/4/2012

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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(Print or Type Responses)
1. Name and Address of Reporting Person *
Rubin Jonathan David
  2. Issuer Name and Ticker or Trading Symbol
BROADWIND ENERGY, INC. [BWEN]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
VP and General Counsel
(Last)
(First)
(Middle)
47 EAST CHICAGO AVENUE, SUITE 332
3. Date of Earliest Transaction (Month/Day/Year)
05/04/2012
(Street)

NAPERVILLE, IL 60540
4. If Amendment, Date Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 05/04/2012   A   161,243 A $0.34 273,522(1) D  
Common Stock               4,706 I By 401(k) Plan

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(Month/Day/Year)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $18.2               (2) 07/02/2018 Common Stock 75,000   75,000 D  
Stock Option (Right to Buy) $7.78               (3) 04/29/2019 Common Stock 18,719   18,719 D  
Stock Option (Right to Buy) $5.44               (4) 03/09/2020 Common Stock 24,095   24,095 D  
Stock Option (Right to Buy) $1.35               (5) 03/07/2021 Common Stock 70,313   70,313 D  
Stock Option (Right to Buy) $0.34 05/04/2012   A   161,243     (6) 05/04/2022 Common Stock 161,243 $ 0 161,243 D  

Reporting Owners

Reporting Owner Name / Address Relationships
 Director  10% Owner  Officer  Other
Rubin Jonathan David
47 EAST CHICAGO AVENUE
SUITE 332
NAPERVILLE, IL 60540
      VP and General Counsel  

Signatures

 Jonathan D. Rubin   05/08/2012
** Signature of Reporting Person Date

Explanation of Responses:

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
(1) Includes (i) 10,000 shares of restricted stock units that vest in 5,000 share increments on each of 10/17/12 and 10/17/13; (ii) 2,245 shares of restricted stock units that vest 4/29/13; (iii) 6,422 shares of restricted stock units that vest 3,211 share increments on each 3/9/13 and 3/9/14; (iv) 41,594 shares of restricted stock units that vest 13,865 shares on 3/7/13, 13,864 shares on 3/7/14 and 13,865 shares on 3/7/15; and (v) 161,243 shares of restricted stock units that vest 40,310 shares on 5/4/13 and 40,311 shares on 5/4/14, 5/4/15 and 5/4/16.
(2) 15,000 shares vest on each of 7/2/09, 7/2/10, 7/2/11, 7/2/12 and 7/2/13.
(3) 4,680 shares vest on each of 4/29/10, 4/29/11 and 4/29/12, and 4,679 shares vest on 4/29/13.
(4) 6,024 shares vest on each of 3/9/11, 3/9/12 and 3/9/13; 6,023 shares vest on 3/9/14.
(5) 17,578 shares vest on 3/7/12, 3/7/13 and 3/7/14 and 17,579 shares vest on 3/7/15.
(6) 40,310 shares vest on 5/4/13 and 40,311 shares vest on 5/4/14, 5/4/15 and 5/4/16.

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

XFRA:9IRA Broadwind Energy Inc Insider Activity 4 Filling

Broadwind Energy Inc XFRA:9IRA Stock - Get Insider Activity SEC Filing of Broadwind Energy Inc XFRA:9IRA stocks, including company profile, shares outstanding, strategy, business segments, operations, officers, consolidated financial statements, financial notes and ownership information.

XFRA:9IRA Broadwind Energy Inc Insider Activity 4 Filing - 5/4/2012
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