SEC Form 4 · accession 0001209191-15-016179
ADVANCED ENERGY INDUSTRIES INC · AEIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Danny C Herron
Officer — Executive VP & CFO
Period of report
Feb 17, 2015
Accepted (ET)
Feb 19, 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 | Feb 17, 2015 | F | 349 | $0.00 | D | 3,379 | D | |
| Common StockF2 | Feb 18, 2015 | M | 6,563 | $14.52 | A | 9,942 | D | |
| CommonStockF2,F3 | Feb 18, 2015 | S | 6,563 | $26.3039 | D | 3,379 | D | |
| Common StockF2,F4,F5 | Feb 18, 2015 | S | 589 | $26.3065 | D | 2,790 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F2 | $14.57 | Feb 18, 2015 | M | 6,563 | D | Feb 18, 2012 | Feb 15, 2021 | Common Stock | 6,563 | 0 | D |
Explanation of responses
- F1Payment of tax liability by withholding securities incident to vesting of Restricted Stock.
- F2Sales reported in this Form 4 were effective pursuant to a Rule 10b5-1 plan.
- F3The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $25.98 to $26.62, inclusive. The reporting person undertakes to provide to Advanced Energy, any security holder of Advanced Energy, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F4The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $26.12 to $26.605, inclusive. The reporting person undertakes to provide to Advanced Energy, any security holder of Advanced Energy, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F5Represents 2,345 shares as Restricted Stock units (RSUs) and 445 shares of Employee Stock Purchase Plan shares.