SEC Form 4 · accession 0001209191-18-033532
ADVANCED ENERGY INDUSTRIES INC · AEIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas M Rohrs
Director
Period of report
May 23, 2018
Accepted (ET)
May 25, 2018 · 4:29 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 StockF4 | May 23, 2018 | G | 10,750 | $0.00 | D | 14,000 | I | By Trust |
| Common StockF1,F2 | holding | — | — | — | 6,000 | D | ||
| Common StockF2,F3 | holding | — | — | — | 24,750 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents restricted stock unit shares directly held. As of this reporting date, 6,000 shares are of unvested.
- F2Shares previously held directly by the reporting person were transferred to the Thomas M. Rohrs and Marion Rohrs Revocable Trust dated 12/22/12 in a transaction exempt from Section 16 reporting pursuant to Rule 16a-13.
- F3Shares held by the Thomas M. Rohrs and Marion Rohrs Revocable Trust dated 12/22/2012.
- F4Shares held by the Thomas M. Rohrs and Marion Rohrs Revocable Trust. The reporting person is a trustee of the trust and disclaims beneficial ownership of the reported securities except herein to the extent of he pecuniary interest.