SEC Form 4 · accession 0001209191-15-009053
ADVANCED ENERGY INDUSTRIES INC · AEIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas O McGimpsey
Officer — EVP Gen Counsel & Corp Sec
Period of report
Jan 30, 2015
Accepted (ET)
Feb 3, 2015 · 5:58 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 | 18,412 | $0.00 | A | 22,097 | D | |
| Common StockF2,F3 | Jan 30, 2015 | F | 6,065 | $24.00 | D | 16,032 | 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)F5 | $11.02 | Jan 30, 2015 | A | 15,781 | A | Jan 30, 2015 | Jan 3, 2022 | Common Stock | 15,781 | 15,781 | D |
Explanation of responses
- F1The reported transaction is the vesting of performance units reported on Form 4 filed January 6, 2012.
- F2Payment of tax liability by witholding securities incident to vesting of restricted stock.
- F3Represents 15,369 shares of Restricted Stock unts (RSUs) and 663 shares of Employee Stock Purchase Plan Shares. As of the transaction date, the restricted stock units have vested as to 14,369 shares.
- F4The reported transaction is the vesting of performance stock options reported on Form 4 filed January 6, 2012
- F5This entry provides for the updated total outstanding performance stock options previously voluntarily reported on Form 4 filed January 6, 2012. The original 50,906 performance stock option represents 2X target. Achievement was approved at 62% or 15,781 shares. The remaining 35,125 performance stock options in respect of the 2014 performance period did not vest.