SEC Form 4 · accession 0001209191-15-010931
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
Feb 5, 2015
Accepted (ET)
Feb 9, 2015 · 5:29 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 | 3,799 | $0.00 | A | 19,831 | 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 | 20,986 | A | Feb 5, 2016 | Feb 5, 2026 | Common Stock | 20,986 | 20,986 | D |
| Performance UnitsF4 | $0.00 | Feb 5, 2015 | A | 0 | A | — | — | Commoon Stock | 7,598 | 7,598 | D |
Explanation of responses
- F1The employee Restricted Stock units granted 2/5/2015 under the Company's 2015 Long Term Incentive Plan (LTI Plan) will vest in three equal installments beginning on the first anniversary of the grant date.
- F2Represents 19,168 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.
- F3The employee stock options granted on 2/5/2015 under the Company's 2015 LTI Plan will vest in three equal annual installments beginning on the first anniversay of the grant date.
- F4These performance shares are related to the 2015 reporting year. If the performance metrics for the reporting year have not been met under the Company's LTI Plan as determined by the Compensation Committee, the unvested units for the 2015 year will expire immediately.