Filing Details
- Accession Number:
- 0001209191-14-069296
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-17 17:51:20
- Reporting Period:
- 2014-11-13
- Filing Date:
- 2014-11-17
- Accepted Time:
- 2014-11-17 17:51:20
- 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 |
|---|---|---|---|---|---|---|---|
| 1365647 | C Danny Herron | 1625 Sharp Point Drive Fort Collins CO 80525 | Executive Vp & Cfo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-11-13 | 6,563 | $14.50 | 30,668 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-11-13 | 6,563 | $14.52 | 37,231 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-11-13 | 6,563 | $14.21 | 43,794 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-11-13 | 16,687 | $12.44 | 60,481 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-11-13 | 3,624 | $9.51 | 64,105 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-11-13 | 40,000 | $20.65 | 24,105 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (right to buy) | Disposition | 2014-11-13 | 6,563 | $20.65 | 6,563 | $14.50 |
| Common Stock | Stock Options (right to buy) | Disposition | 2014-11-13 | 6,563 | $20.65 | 6,563 | $14.52 |
| Common Stock | Stock Options (right to buy) | Disposition | 2014-11-13 | 6,563 | $20.65 | 6,563 | $14.21 |
| Common Stock | Stock Options (right to buy) | Disposition | 2014-11-13 | 16,687 | $20.65 | 16,687 | $12.44 |
| Common Stock | Stock Options (right to buy) | Disposition | 2014-11-13 | 3,624 | $20.65 | 3,624 | $9.51 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-10-26 | 2020-10-26 | No | 4 | M | Direct |
| 6,563 | 2012-02-15 | 2021-02-15 | No | 4 | M | Direct |
| 6,232 | 2012-04-28 | 2022-04-28 | No | 4 | M | Direct |
| 6,563 | 2012-07-22 | 2021-07-22 | No | 4 | M | Direct |
| 9,501 | 2012-10-26 | 2022-10-26 | No | 4 | M | Direct |
Footnotes
- Sales reported in this Form 4 were effective pursuant to a Rule 10b5-1 plan.
- The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $20.45 to $20.87,inclusive. The reporting person undertakes to provide to Advanced Energy, any security holder of Advanced Energy, or the staff of the Securities andExchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- Represents 23,660 shares as Restricted Stock units (RSUs) and 445 shares of Employee Stock Purchase Plan shares. As of this reporting date, the restricted stock units have vested as to 37,553 shares.
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