SEC Form 4 · accession 0001209191-17-053702
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
Sep 20, 2017
Accepted (ET)
Sep 22, 2017 · 4:21 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 | Sep 20, 2017 | M | 4,863 | $14.21 | A | 127,396 | D | |
| Common StockF1 | Sep 20, 2017 | M | 3,938 | $14.52 | A | 131,334 | D | |
| Common StockF2,F3,F4 | Sep 20, 2017 | S | 11,744 | $75.09 | D | 119,590 | 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)F1 | $14.21 | Sep 20, 2017 | M | 4,863 | D | Apr 28, 2015 | Apr 28, 2021 | Common Stock | 4,863 | 0 | D |
| Stock Options (right to buy)F1 | $14.52 | Sep 20, 2017 | M | 3,938 | D | Feb 15, 2014 | Feb 15, 2021 | Common Stock | 3,938 | 0 | D |
Explanation of responses
- F1Shares exercised in accordance with 10b5-1 trading plan.
- F2Shares sold in accordance with 10b5-1 trading plan.
- F3The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $73.85 to $76.49. 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 forth in this footnote.
- F4Represents 76,696 shares of Restricted Stock Units and 42,894 Performance Stock Units.