Home > Insider Trading > Filing (0001209191-13-010342)

Filing Details

Accession Number:: 0001209191-13-010342
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-02-20 19:11:29
Reporting Period:: 2013-02-15

Filing Date:: 2013-02-20
Accepted Time:: 2013-02-20 19:11:29
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
927003	Advanced Energy Industries Inc	AEIS	Electronic Components, Nec (3679)	840846841

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1416894	Yuval Wasserman	1625 Sharp Point Drive Fort Collins CO 80525	President Thin Films Bus. Unit	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2013-02-15	31,319	$14.05	56,836	No	4	M	Direct
Common Stock	Acquisiton	2013-02-15	42,874	$15.06	99,710	No	4	M	Direct
Common Stock	Acquisiton	2013-02-15	3,937	$16.25	103,647	No	4	M	Direct
Common Stock	Disposition	2013-02-15	87,147	$18.00	16,500	No	4	S	Direct
Common Stock	Disposition	2013-02-15	174	$17.95	16,326	No	4	F	Direct
Common Stock	Disposition	2013-02-19	319	$18.36	16,007	No	4	F	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	F	Direct
No	4	F	Direct

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (right to buy)	Disposition	2013-02-15	9,383	$0.00	9,383	$13.70
Common Stock	Employee Stock Option (right to buy)	Disposition	2013-02-15	14,062	$0.00	14,062	$14.02
Common Stock	Employee Stock Option (right to buy)	Disposition	2013-02-15	3,937	$0.00	3,937	$14.50
Common Stock	Employee Stock Option (right to buy)	Disposition	2013-02-15	3,937	$0.00	3,937	$14.52
Common Stock	Employee Stock Option (right to buy)	Disposition	2013-02-15	35,000	$0.00	35,000	$14.93
Common Stock	Employee Stock Option (right to buy)	Disposition	2013-02-15	7,874	$0.00	7,874	$15.65
Common Stock	Employee Stock Option (right to buy)	Disposition	2013-02-15	3,937	$0.00	3,937	$16.25

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
3,127	2018-04-22	No	4	M	Direct
4,688	2018-07-29	No	4	M	Direct
3,937	2020-10-26	No	4	M	Direct
3,937	2021-02-15	No	4	M	Direct
0	2017-10-26	No	4	M	Direct
3,938	2020-02-16	No	4	M	Direct
9,452	2020-04-20	No	4	M	Direct

Footnotes

The price reported in Column 4 is a weighted average price. These shares were acquired upon exeercise of multiple option grants with exercise prices ranging from $13.70 to $14.52, inclusive, as reported on Table II. 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 each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were acquired upon exercise of multiple option grants with exercise prices ranging from $14.93 to $15.65, inclusive, as reported on Table II. 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 each separate price within the ranges set forth in this footnote.
The sales reported were effected pursuant to a 10b5-1 plan adopted by the reporting person on 3/7/2012.
Payment of tax liability by witholding securities incident to vesting of restricted stock.
Represents 16,007 shares of Restricted Stock Units. As of the reporting date 4,472 are vested.
The option represents a right to purchase a total of 12,510 shares, became exercisable in four equal annual installments beginning on 5/22/2009, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 12,510 shares.
The option represents a right to purchase a total of 18,750 shares, became exercisable in four equal annual installments beginning on 7/29/2009, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 18,750 shares.
The option represents a right to purchase a total of 15,750 shares, becomes exercisable in four equal annual installments beginning on 10/26/2011, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 7,874 shares.
The option represents a right to purchase a total of 11,812 shares, becomes exercisable in four equal annual installments beginning on 02/15/2012, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 3,937 shares.
The option represents a right to purchase a total of 35,000 shares, became exercisable in four equal annual installments beginning on 10/26/2008, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 35,000 shares.
The option represents a right to purchase a total of 11,812 shares, becomes exercisable in four equal annual installments beginning on 2/16/2011, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 7,874 shares.
The option represents a right to purchase a total of 13,389 shares, becomes exercisable in four equal annual installments beginning on 4/20/2011, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 7,874 shares.