SEC Form 4 · accession 0001209191-18-011412
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
Feb 15, 2018
Accepted (ET)
Feb 20, 2018 · 5:08 pm EST
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 | Feb 15, 2018 | A | 7,694 | $66.66 | A | 137,987 | D | |
| Common StockF2 | Feb 15, 2018 | F | 3,383 | $66.66 | D | 134,604 | D | |
| Common StockF3 | Feb 15, 2018 | A | 5,422 | $66.66 | A | 140,026 | D | |
| Common StockF2 | Feb 15, 2018 | F | 2,384 | $66.66 | D | 137,642 | D | |
| Common StockF4 | Feb 15, 2018 | A | 21,690 | $66.66 | A | 159,332 | D | |
| Common StockF2,F5 | Feb 15, 2018 | F | 9,538 | $66.66 | D | 149,794 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These performance stock units were reported voluntarily 2/8/2016. Certain 2016 Revenue performance metrics were met under the LTI Plan and the shares were approved for a 2/15/2018 release by the Board of Directors.
- F2Payment of tax liability by withholding securities incident to vesting of performance stock units.
- F3These performance stock units were reported voluntarily 2/6/2017. Certain 2017 Revenue performance metrics were met under the LTI Plan and the shares were approved for a 2/15/2018 release by the Board of Directors.
- F4These performance stock units were reported voluntarily 2/6/2017. Certain 2017 EPS performance metrics were met under the LTI Plan and the shares were approved for a 2/15/2018 release by the Board of Directors.
- F5Represents 77,977 shares of Restricted Stock Units and 19,501 Performance Stock Units. 52,316 of these total shares are held in street name.