SEC Form 4 · accession 0001209191-15-009056
ADVANCED ENERGY INDUSTRIES INC · AEIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yuval Wasserman
Officer — President & CEO · Director
Period of report
Jan 30, 2015
Accepted (ET)
Feb 3, 2015 · 6:01 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 | 27,853 | D | |
| Common StockF2,F3 | Jan 30, 2015 | F | 6,010 | $24.00 | D | 21,843 | 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 withholding securities incident to vesting of performance units.
- F3Represents 21,843 shares of Restricted Stock Units. As of the transaction date, the restricted stock units have vested as to 19,591 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.