Filing Details

Accession Number:
0001209191-16-113460
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-04-06 16:30:21
Reporting Period:
2016-04-04
Filing Date:
2016-04-06
Accepted Time:
2016-04-06 16:30:21
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
1245088 O Thomas Mcgimpsey 1625 Sharp Point Drive
Fort Collins CO 80525
Evp Gen Counsel & Corp Sec 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 2016-04-04 4,685 $12.44 22,502 No 4 M Direct
Common Stock Acquisiton 2016-04-04 1,562 $9.51 24,064 No 4 M Direct
Common Stock Disposition 2016-04-04 4,685 $34.86 19,379 No 4 S Direct
Common Stock Disposition 2016-04-04 1,562 $34.86 17,817 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S 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 2016-04-04 4,685 $34.86 4,685 $12.44
Common Stock Stock Options (right to buy) Disposition 2016-04-04 1,562 $34.86 1,562 $9.51
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2013-07-22 2021-07-22 No 4 M Direct
0 2013-10-26 2021-10-26 No 4 M Direct
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan.
  2. The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $34.74 to $35.13. 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 for the in this footnote.
  3. Represents 12,627 shares of Restricted Stock units (RSUs) and 5,190 shares of Performance shares. As of the transaction date, the Restricted Stock Units have vested as to 862 shares.