SEC Form 4 · accession 0001209191-16-118130
ADVANCED ENERGY INDUSTRIES INC · AEIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick Ball
Director
Period of report
May 5, 2016
Accepted (ET)
May 6, 2016 · 4:44 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 | May 5, 2016 | A | 8,000 | $34.55 | A | 28,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The restricted stock units granted on May 5, 2016 will vest 100% at the first anniversary of the grant date. This is an annual non-employee director grant as outlined in the 2016 proxy.
- F2Mr. Ball has been granted a total of 75,000 RSUs in nine 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; (I) 8,000 RSUs granted May 5, 2016. Grants (D-I) 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 12,500 of the vested RSUs.