SEC Form 4 · accession 0001209191-15-010928
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
Feb 5, 2015
Accepted (ET)
Feb 9, 2015 · 5:28 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,F2 | Feb 5, 2015 | A | 1,187 | $0.00 | A | 2,938 | 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)F3 | $26.32 | Feb 5, 2015 | A | 6,558 | A | Feb 5, 2016 | Feb 5, 2026 | Common Stock | 6,558 | 6,558 | D |
| Employee Stock UnitsF4 | $0.00 | Feb 5, 2015 | A | 0 | A | — | — | Common Stock | 2,374 | 2,374 | D |
Explanation of responses
- F1Employee Restricted Stock Units granted on 2/5/2015 under the Company's 2105 Long Term Incentive Plan (LTI Plan) will vest in three equal installments beginning on the first anniversary date of the grant.
- F2Represents 2,938 shares granted as Restricted Stock Units (RSUs). As of the transaction date, the restricted stock units have vested as to 1,751 shares.
- F3The employee stock options granted on 2/5/2015 under the Company's 2015 LTI Plan will vest in three equal installments beginning on the first anniversary date of the grant.
- F4These performance shares are related to the 2015 reporting year. If the metrics for the reporting year have not been met under the Company's 2015 LTI Plan as determined by the Compensation Committee, the unvested performance units for the 2015 year will expire immediately.