SEC Form 4 · accession 0001209191-16-111735
ADVANCED ENERGY INDUSTRIES INC · AEIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Grant H Beard
Director
Period of report
Mar 30, 2016
Accepted (ET)
Apr 1, 2016 · 5:15 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,F3 | Mar 30, 2016 | P | 10,000 | $35.1876 | A | 38,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Purchase reported in this Form 4 were effective pursuant to a Rule 10b5-1 plan.
- F2The price reported in Column 4 is an average price. These shares were purchased in multiple transactions at prices ranging from $34.87 to $35.47 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 purchased at each separate price within the ranges set for the in this footnote.
- F3Mr. Beard has been granted a total of 18,000 shares in two grants; (A) 10,000 RSUs granted May 8, 2014 which vest annually in in 4 equal installments on each anniversary of the grant date until fully vested; (B) 8,000 RSUs granted 5/7/2015 which vest 100% at the anniversary of the grant date. December 8, 2014 he purchased 10,000 shares and March 30, 2016, he purchased an additional 10,000 shares as part of two 10b5-1 plans. As of the reporting date, 2,500 shares have vested and he holds 22,500 shares in street name.