SEC Form 4 · accession 0001209191-17-052970
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
Sep 14, 2017
Accepted (ET)
Sep 15, 2017 · 4:23 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 | Sep 14, 2017 | M | 2,625 | $15.65 | A | 43,323 | D | |
| Common Stock | Sep 14, 2017 | M | 1,313 | $16.25 | A | 44,636 | D | |
| Common Stock | Sep 14, 2017 | M | 1,313 | $13.85 | A | 45,949 | D | |
| Common Stock | Sep 14, 2017 | M | 1,313 | $14.50 | A | 47,262 | D | |
| Common Stock | Sep 14, 2017 | M | 1,587 | $14.52 | A | 48,849 | D | |
| Common StockF1 | Sep 14, 2017 | M | 1,563 | $14.21 | A | 50,412 | 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 buy) | $15.65 | Sep 14, 2017 | M | 2,625 | D | Feb 16, 2014 | Feb 16, 2020 | Common Stock | 2,625 | 0 | D |
| Stock Options (right to buy) | $16.25 | Sep 14, 2017 | M | 1,313 | D | Apr 20, 2014 | Apr 20, 2020 | Common Stock | 1,313 | 0 | D |
| Stock Options (right to buy) | $13.85 | Sep 14, 2017 | M | 1,313 | D | Jul 20, 2014 | Jul 20, 2020 | Common Stock | 1,313 | 0 | D |
| Stock Options (right to buy) | $14.50 | Sep 14, 2017 | M | 1,313 | D | Oct 26, 2014 | Oct 26, 2020 | Common Stock | 1,313 | 0 | D |
| Stock Options (right to buy) | $14.52 | Sep 14, 2017 | M | 1,587 | D | Feb 15, 2015 | Feb 15, 2021 | Common Stock | 1,587 | 0 | D |
| Stock Options (right to buy) | $14.21 | Sep 14, 2017 | M | 1,563 | D | Apr 28, 2015 | Apr 28, 2021 | Common Stock | 1,563 | 0 | D |
Explanation of responses
- F1Represents 20,963 shares of Restricted Stock units and 11,356 shares of Performance Stock Units and 18,093 shares of common stock.