SEC Form 4 · accession 0001209191-16-113460

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

Apr 4, 2016

Accepted (ET)

Apr 6, 2016 · 4:30 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
Common Stock^F1	Apr 4, 2016	M	4,685	$12.44	A	22,502	D
Common Stock^F1	Apr 4, 2016	M	1,562	$9.51	A	24,064	D
Common Stock^F1,F2	Apr 4, 2016	S	4,685	$34.8628	D	19,379	D
Common Stock^F1,F2,F3	Apr 4, 2016	S	1,562	$34.8628	D	17,817	D

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	$12.44	Apr 4, 2016	M	4,685	D	Jul 22, 2013	Jul 22, 2021	Common Stock	4,685	0	D
Stock Options (right to buy)^F1,F2	$9.51	Apr 4, 2016	M	1,562	D	Oct 26, 2013	Oct 26, 2021	Common Stock	1,562	0	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 $34.74 to $35.13. 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.