SEC Form 4 · accession 0001209191-17-041108
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 19, 2017
Accepted (ET)
Jun 20, 2017 · 4:57 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 19, 2017 | M | 3,938 | $13.85 | A | 122,006 | D | |
| Common StockF1 | Jun 19, 2017 | M | 7,876 | $14.50 | A | 129,882 | D | |
| Common StockF1 | Jun 19, 2017 | M | 2,352 | $12.77 | A | 132,234 | D | |
| Common StockF1 | Jun 19, 2017 | M | 1,577 | $16.25 | A | 133,811 | D | |
| Common StockF1,F2 | Jun 19, 2017 | S | 15,743 | $72.29 | 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 | $13.85 | Jun 19, 2017 | M | 3,938 | D | Jul 20, 2014 | Jul 20, 2020 | Common Stock | 3,938 | 0 | D |
| Employee Stock Option (right to buy)F1,F4 | $14.50 | Jun 19, 2017 | M | 7,876 | D | Oct 26, 2014 | Oct 20, 2020 | Common Stock | 7,876 | 0 | D |
| Employee Stock Option (right to buy)F1,F5 | $12.77 | Jun 19, 2017 | M | 2,352 | D | Oct 27, 2013 | Oct 27, 2019 | Common Stock | 2,352 | 0 | D |
| Employee Stock Option (right to buy)F1,F6 | $16.25 | Jun 19, 2017 | M | 1,577 | D | Apr 20, 2014 | Apr 20, 2020 | Common Stock | 1,577 | 0 | 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 15,750 shares that became exercisable on 7/20/2014. As of the transaction date, the option is vested and zero options remain unexercised.
- F4The option represents a right to purchase a total of 15,750 shares that became exercisable on 10/26/2014. As of the transaction date, the option is vested and zero options remain unexercised.
- F5The option represents a right to purchase a total of 12,195 shares that became exercisable on 10/27/2013. As of the transaction date, the option is vested and zero options remain unexercised.
- F6The option represents a right to purchase a total of 13,389 shares that became exercisable on 4/20/2014. As of the transaction date, the option is vested and zero options remain unexercised.