SEC Form 4 · accession 0001209191-17-035869

ADVANCED ENERGY INDUSTRIES INC · AEIS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP Gen Counsel & Corp Sec

Period of report

May 25, 2017

Accepted (ET)

May 26, 2017 · 4:42 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
Common Stock^F1	May 25, 2017	M	13,991	$26.32	A	53,456	D
Common Stock^F1	May 25, 2017	M	15,781	$11.02	A	69,237	D
Common Stock^F1,F2,F3	May 25, 2017	S	29,772	$77.04	D	39,465	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Options (right to buy)^F1,F5,F4	$26.32	May 25, 2017	M	13,991	D	—	Feb 5, 2025	Common Stock	13,991	6,995	D
Stock Options (right to buy)^F1	$11.02	May 25, 2017	M	15,781	D	Jan 3, 2013	Jan 3, 2023	Common Stock	15,781	0	D

F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan.
F2The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $76.44 to $77.81. 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 for the in this footnote.
F3Represents 20,963 shares of Restricted Stock units (RSUs) and 10,123 shares of Performance shares and 8,379 shares of common stock.
F4The option vests in three equal installments on February 5, 2016, 2017, and 2018.
F5Represents remaining unvested options.