SEC Form 4 · accession 0001209191-17-030717
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
May 4, 2017
Accepted (ET)
May 8, 2017 · 7:52 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 | May 4, 2017 | A | 4,617 | $0.00 | A | 41,615 | D | |
| Common StockF2,F3 | May 4, 2017 | F | 2,150 | $74.29 | D | 39,465 | 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 5/4/2017 release by the Compensation Committee on 5/3/2017.
- F2Payment of tax liability by witholding securities incident to vesting of restricted stock.
- F3Represents 20,963 shares of Restricted Stock units (RSUs) and 10,123 shares of Performance shares and 8,379 options exercised for cash.