SEC Form 4 · accession 0001209191-17-014915
ADVANCED ENERGY INDUSTRIES INC · AEIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas O McGimpsey
Officer — EVP Gen Counsel & Corp Sec
Period of report
Feb 23, 2017
Accepted (ET)
Feb 27, 2017 · 5:40 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 | Feb 23, 2017 | A | 4,616 | $61.66 | A | 25,769 | D | |
| Common StockF2,F3 | Feb 23, 2017 | F | 2,150 | $61.66 | D | 23,619 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These performance awards were reported voluntarily 2/4/2016. Certain non-GAAP EPS 2016 performance metrics were met under the LTI Plan and the shares were approved for a 2/23/2017 release by the Compensation Committee on 2/1/2017.
- F2Payment of tax liability by witholding securities incident to vesting of restricted stock.
- F3Represents 15,963 shares of Restricted Stock units (RSUs) and 7,656 shares of Performance shares. As of the transaction date, the restricted stock units have vested as to 3,120 shares.