SEC Form 4 · accession 0001209191-17-039832
ADVANCED ENERGY INDUSTRIES INC · AEIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yuval Wasserman
Officer — President & CEO · Director
Period of report
Jun 13, 2017
Accepted (ET)
Jun 14, 2017 · 4:30 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 | Jun 13, 2017 | M | 12,281 | $11.02 | A | 130,349 | D | |
| Common StockF1,F2 | Jun 13, 2017 | S | 12,281 | $80.00 | D | 118,068 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1,F3 | $11.02 | Jun 13, 2017 | M | 5,000 | D | Feb 6, 2014 | Jan 3, 2022 | Common Stock | 5,000 | 33,669 | D |
| Employee Stock Option (right to buy)F1,F4 | $11.02 | Jun 13, 2017 | M | 7,281 | D | Jan 3, 2012 | Jan 3, 2022 | Common Stock | 7,281 | 8,500 | D |
Explanation of responses
- F1Shares sold in accordance with 10b5-1 trading plan.
- F2Represents 79,639 shares of Restricted Stock Units and 38,429 Performance Shares.
- F3The option represents a right to purchase a total of 38,669 shares that became exercisable on 2/6/2014. As of the transaction date, the option is vested and 33,669 options remain unexercised.
- F4The option represents a right to purchase a total of 15,781 shares that became exercisable on 1/3/2012. As of the transaction date, the option is vested and 8,500 options remain unexercised.