SEC Form 4 · accession 0001209191-17-020823
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
Mar 13, 2017
Accepted (ET)
Mar 15, 2017 · 4:29 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 Stock | Mar 13, 2017 | M | 5,250 | $12.77 | A | 33,869 | D | |
| Common Stock | Mar 13, 2017 | M | 1,565 | $12.44 | A | 35,434 | D | |
| Common StockF1 | Mar 13, 2017 | M | 1,564 | $9.51 | A | 36,998 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to by) | $12.77 | Mar 13, 2017 | M | 5,250 | D | Oct 27, 2013 | Oct 27, 2019 | Common Stock | 5,250 | 0 | D |
| Stock Options (right to buy) | $12.44 | Mar 13, 2017 | M | 1,565 | D | Jul 22, 2015 | Jul 22, 2021 | Common Stock | 1,565 | 0 | D |
| Stock Options (right to buy) | $9.51 | Mar 13, 2017 | M | 1,564 | D | Oct 26, 2015 | Oct 26, 2021 | Common Stock | 1,564 | 0 | D |
Explanation of responses
- F1Represents 20,963 shares of Restricted Stock units (RSUs) and 7,656 shares of Performance shares and 8,379 options exercised for cash. As of the transaction date, the restricted stock units have vested as to 3,120 shares.