SEC Form 4 · accession 0001209191-16-105619
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
Mar 1, 2016
Accepted (ET)
Mar 3, 2016 · 5:51 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 | Mar 1, 2016 | M | 4,687 | $14.21 | A | 22,504 | D | |
| Common StockF1,F2,F3 | Mar 1, 2016 | S | 4,687 | $30.5302 | D | 17,817 | 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)F1,F2 | $14.21 | Mar 1, 2016 | M | 4,687 | D | Mar 1, 2016 | Apr 28, 2021 | Common Stock | 4,687 | 0 | D |
Explanation of responses
- 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 $29.815 to $31.23. 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 12,627 shares of Restricted Stock units (RSUs) and 5,190 shares of Performance shares. As of the transaction date, the Restricted Stock Units have vested as to 862 shares.