SEC Form 4 · accession 0001209191-18-028690
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
May 4, 2018
Accepted (ET)
May 8, 2018 · 6:07 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 | May 4, 2018 | M | 930 | $12.77 | A | 141,929 | D | |
| Common StockF1 | May 4, 2018 | M | 3,938 | $15.65 | A | 145,867 | D | |
| Common StockF1 | May 4, 2018 | M | 2,361 | $16.25 | A | 148,228 | D | |
| Common StockF1 | May 4, 2018 | M | 3,938 | $14.52 | A | 152,166 | D | |
| Common StockF1 | May 4, 2018 | M | 7,876 | $12.44 | A | 160,042 | D | |
| Common StockF1 | May 4, 2018 | M | 11,813 | $9.51 | A | 171,855 | D | |
| Common StockF1 | May 4, 2018 | M | 8,500 | $11.02 | A | 180,355 | D | |
| Common StockF1 | May 4, 2018 | M | 13,171 | $18.77 | A | 193,526 | D | |
| Common StockF1 | May 4, 2018 | M | 3,013 | $14.21 | A | 196,539 | D | |
| Common StockF1,F2 | May 4, 2018 | S | 8,345 | $61.22 | D | 188,194 | D | |
| Common StockF1,F3 | May 4, 2018 | S | 38,385 | $62.53 | D | 149,809 | D | |
| Common StockF1,F4,F5 | May 4, 2018 | S | 8,810 | $62.96 | D | 140,999 | 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 | $12.77 | May 4, 2018 | M | 930 | D | Oct 27, 2013 | Oct 27, 2019 | Common Stock | 930 | 0 | D |
| Stock Options (right to buy)F1 | $15.65 | May 4, 2018 | M | 3,938 | D | Feb 16, 2014 | Feb 16, 2020 | Common Stock | 3,938 | 0 | D |
| Stock Options (right to buy)F1 | $16.25 | May 4, 2018 | M | 2,361 | D | Apr 20, 2014 | Apr 20, 2020 | Common Stock | 2,361 | 0 | D |
| Stock Option (right to buy)F1 | $14.52 | May 4, 2018 | M | 3,938 | D | Feb 15, 2015 | Feb 15, 2021 | Common Stock | 3,938 | 0 | D |
| Stock Option (right to buy)F1 | $12.44 | May 4, 2018 | M | 7,876 | D | Jul 22, 2015 | Jul 22, 2021 | Common Stock | 7,876 | 0 | D |
| Stock Option (right to buy)F1 | $9.51 | May 4, 2018 | M | 11,813 | D | Oct 26, 2015 | Oct 26, 2021 | Common Stock | 11,813 | 0 | D |
| Stock Option (right to buy)F1 | $11.02 | May 4, 2018 | M | 8,500 | D | Jan 3, 2013 | Jan 3, 2022 | Common Stock | 8,500 | 0 | D |
| Stock Option (right to buy)F1 | $18.77 | May 4, 2018 | M | 13,171 | D | Oct 1, 2017 | Jan 1, 2024 | Common Stock | 13,171 | 43,429 | D |
| Stock Options (right to buy)F1 | $14.21 | May 4, 2018 | M | 3,013 | D | Apr 28, 2015 | Apr 28, 2021 | Common Stock | 3,013 | 0 | D |
Explanation of responses
- F1Shares exercised and sold in accordance with 10b5-1 trading plan.
- F2The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $60.78 to $61.71. 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.
- F3The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $61.85 to $62.85. 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.
- F4The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $62.86 to $63.13. 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.
- F5Represents 45,388 shares of Restricted Stock Units and 95,611 shares of common stock.