SEC Form 4 · accession 0001209191-16-148618
ADVANCED ENERGY INDUSTRIES INC · AEIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas M Rohrs
Director
Period of report
Nov 3, 2016
Accepted (ET)
Nov 7, 2016 · 4:16 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,F2,F3 | Nov 3, 2016 | S | 4,000 | $47.82 | D | 30,750 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sale in accordance with 10b5-1 trading plan.
- F2The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from 47.36 to 48.52. 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 forth in this footnote.
- F3Mr. Rohrs has been granted a total of 87,000 RSUs in eleven grants: (A) 5,000 RSUs granted on May 24, 2006; (B) 16,000 RSUs granted on May 2, 2007; (C) 6,000 RSUs granted on May 7, 2008;(D) 6,000 RSUs granted on May 6, 2009 and (E) 6,000 RSUs granted on May 4, 2010. These RSUs (A-E)vest in vest annually in four equal installments beginning 1 year after grant date. (F) 8,000 RSUs granted on May 4, 2011; (G) 8,000 RSUs granted on May 2, 2012; (H) 8,000 RSUs granted on May 1, 2013; (I) 8,000 RSUs granted on May 7, 2014; (J) 8,000 RSUs granted on May 7, 2015; (K) 8,000 RSUs granted on May 5, 2016. These RSUs (F-K) vested 100% on the first anniversary of the grant date. As of this filing Mr. Rohrs holds 22,750 shares in street name.