SEC Form 4 · accession 0001209191-15-085090

ADVANCED ENERGY INDUSTRIES INC · AEIS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP Gen Counsel & Corp Sec

Period of report

Dec 10, 2015

Accepted (ET)

Dec 14, 2015 · 5:24 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
Common Stock^F1	Dec 10, 2015	M	800	$16.25	A	20,315	D
Common Stock^F1	Dec 10, 2015	M	3,937	$13.85	A	24,252	D
Common Stock^F1	Dec 10, 2015	M	23,669	$11.02	A	47,921	D
Common Stock^F1,F2	Dec 10, 2015	S	28,406	$29.1467	D	19,515	D
Common Stock	Dec 10, 2015	D	2,706	$29.1516	D	16,809	D
Common Stock^F3	Dec 10, 2015	D	663	$29.1516	D	16,146	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Stock Options (right to buy)^F1,F2	$16.25	Dec 10, 2015	M	800	D	Apr 20, 2013	Apr 20, 2020	Common Stock	800	D
Stock Options (right to buy)^F1,F2	$13.85	Dec 10, 2015	M	3,937	D	Jul 20, 2013	Jul 20, 2020	Common Stock	3,937	D
Stock Options (right to buy)^F1,F2	$11.02	Dec 10, 2015	M	23,669	D	Feb 6, 2014	Jan 3, 2022	Common Stock	23,669	D

F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan.
F2The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $28.93 to $29.68. 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 for the in this footnote.
F3Represents 16,146 shares of Restricted Stock unts (RSUs). As of the transaction date, the restricted stock units have vested as to 12,347 shares.