SEC Form 4 · accession 0001209191-16-157005
ADVANCED ENERGY INDUSTRIES INC · AEIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick Ball
Director
Period of report
Nov 11, 2016
Accepted (ET)
Dec 29, 2016 · 4:21 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 | Nov 11, 2016 | G | 9,250 | $0.00 | D | 19,250 | D | |
| Common StockF1 | Nov 11, 2016 | G | 9,250 | $0.00 | A | 9,250 | I | By 1998 Ball Family Trust |
| Common StockF2 | Nov 15, 2016 | G | 7,500 | $0.00 | D | 11,750 | D | |
| Common SockF1 | Dec 13, 2016 | G | 3,750 | $0.00 | D | 8,000 | D | |
| Common StockF1 | Dec 13, 2016 | G | 3,750 | $0.00 | A | 13,000 | I | By 1998 Ball Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Ball transferred 13,000 vested RSUs to the 1998 Ball Family Trust (9,250 shares on 11/11/16 and 3,750 on 12/13/2016. 8,000 RSUs remain unvested at the time of this filing.
- F2Represents charitable contribution of shares.