SEC Form 4 · accession 0001209191-15-066938
ADVANCED ENERGY INDUSTRIES INC · AEIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick Ball
Director
Period of report
Aug 17, 2015
Accepted (ET)
Aug 19, 2015 · 5:06 pm EDT
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 | Aug 17, 2015 | S | 2,500 | $26.40 | D | 25,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sales reported in this Form 4 were pursuant to a Rule 10b5-1 plan.
- F2Mr. Ball has been granted a total of 67,000 RSUs in eight grants: (A) 15,000 RSUs granted on October 28, 2008; (B) 6,000 RSUs granted on May 6, 2009; (C) 6,000 RSUs granted on May 4, 2010; these RSU grants vest annually in four equal installments beginning 1 year after grant date. (D) 8,000 RSUs granted May 4, 2011 (E) 8,000 RSUs granted May 2, 2012;(F) 8,000 RSUs granted May 1, 2013; (G) 8,000 RSUs granted May 7, 2014; (H) 8,000 RSUs granted May 7, 2015 all of these (D-H) vest 100% at the first anniversary of the grant date. As of this filing, the RSU shares have vested as to 59,000 shares and Mr. Ball holds 17,500 of the vested RSUs.