Filing Details
- Accession Number:
- 0001209191-17-039832
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-06-14 16:30:04
- Reporting Period:
- 2017-06-13
- Filing Date:
- 2017-06-14
- Accepted Time:
- 2017-06-14 16:30:04
- 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 & Ceo | Yes | 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 | 2017-06-13 | 12,281 | $11.02 | 130,349 | No | 4 | M | Direct | |
Common Stock | Disposition | 2017-06-13 | 12,281 | $80.00 | 118,068 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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 | Employee Stock Option (right to buy) | Disposition | 2017-06-13 | 5,000 | $0.00 | 5,000 | $11.02 |
Common Stock | Employee Stock Option (right to buy) | Disposition | 2017-06-13 | 7,281 | $0.00 | 7,281 | $11.02 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
33,669 | 2014-02-06 | 2022-01-03 | No | 4 | M | Direct |
8,500 | 2012-01-03 | 2022-01-03 | No | 4 | M | Direct |
Footnotes
- Shares sold in accordance with 10b5-1 trading plan.
- Represents 79,639 shares of Restricted Stock Units and 38,429 Performance Shares.
- The option represents a right to purchase a total of 38,669 shares that became exercisable on 2/6/2014. As of the transaction date, the option is vested and 33,669 options remain unexercised.
- The option represents a right to purchase a total of 15,781 shares that became exercisable on 1/3/2012. As of the transaction date, the option is vested and 8,500 options remain unexercised.