SEC Form 4 · accession 0001209191-15-009048
ADVANCED ENERGY INDUSTRIES INC · AEIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William George Trupkiewicz
Officer — Chief Accounting Officer
Period of report
Jan 30, 2015
Accepted (ET)
Feb 3, 2015 · 5:57 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000927003
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 30, 2015 | A | 2,791 | $0.00 | A | 2,791 | D | |
| Common StockF2,F3 | Jan 30, 2015 | F | 1,040 | $24.00 | D | 1,751 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F4 | $25.28 | Jan 30, 2015 | A | 2,393 | A | Jan 30, 2015 | Apr 1, 2024 | Common Stock | 2,393 | 2,393 | D |
Explanation of responses
- F1The reported transaction is the vesting of performance units reported on Amended Form 3 dated February 3, 2015.
- F2Payment of tax liability by withholding securities incident to vesting of restricted stock.
- F3Represents 1751 shares granted as Restricted Stock Units (RSUs). As of the transaction date, the restricted stock units have vested as to 1751 shares.
- F4The original 8,210 2014 performance options issued 4/1/2014 represents 2X target. Achievement was approved at 62% or 2,393 shares. The remaining 5,817 performance stock options in respect to the 2014 reporting period did not vest.