SEC Form 4 · accession 0001209191-19-013578
ADVANCED ENERGY INDUSTRIES INC · AEIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul R Oldham
Officer — EVP, CFO
Period of report
Feb 22, 2019
Accepted (ET)
Feb 26, 2019 · 4:47 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,F2 | Feb 22, 2019 | A | 8,930 | $0.00 | A | 13,190 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance UnitsF3 | $0.00 | Feb 22, 2019 | A | 17,860 | A | — | — | Common Stock | 17,860 | 17,860 | D |
Explanation of responses
- F1Employee Restricted Stock Units granted on 2/22/2019 under the Company's 2019 Long Term Incentive Plan (LTI Plan) will vest in 3 equal installments beginning on the first anniversary date of the grant.
- F2Represents 13,190 shares granted as Restricted Stock Units. As of the transaction date, the restricted stock units have vested as to zero shares.
- F3These performance share awards were issued under the 2019 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.