SEC Form 4 · accession 0001209191-17-057674
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
Oct 18, 2017
Accepted (ET)
Oct 20, 2017 · 5:36 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 | Oct 18, 2017 | M | 10,669 | $11.02 | A | 130,259 | D | |
| Common StockF2,F3 | Oct 18, 2017 | S | 10,669 | $90.00 | 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 | $11.02 | Oct 18, 2017 | M | 10,669 | D | Jan 3, 2012 | Jan 3, 2022 | Common Stock | 10,669 | 0 | D |
Explanation of responses
- F1Shares exercised in accordance with 10b5-1 trading plan.
- F2Shares sold in accordance with 10b5-1 trading plan.
- F3Represents 76,696 shares of Restricted Stock Units and 42,894 Performance Stock Units.