Filing Details
- Accession Number:
- 0001209191-17-035869
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-26 16:42:14
- Reporting Period:
- 2017-05-25
- Filing Date:
- 2017-05-26
- Accepted Time:
- 2017-05-26 16:42:14
- 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 | 2017-05-25 | 13,991 | $26.32 | 53,456 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-05-25 | 15,781 | $11.02 | 69,237 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-25 | 29,772 | $77.04 | 39,465 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (right to buy) | Disposition | 2017-05-25 | 13,991 | $0.00 | 13,991 | $26.32 |
| Common Stock | Stock Options (right to buy) | Disposition | 2017-05-25 | 15,781 | $0.00 | 15,781 | $11.02 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,995 | 2025-02-05 | No | 4 | M | Direct | |
| 0 | 2013-01-03 | 2023-01-03 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan.
- The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $76.44 to $77.81. 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.
- Represents 20,963 shares of Restricted Stock units (RSUs) and 10,123 shares of Performance shares and 8,379 shares of common stock.
- The option vests in three equal installments on February 5, 2016, 2017, and 2018.
- Represents remaining unvested options.
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