Filing Details

Accession Number:
0001209191-18-028690
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-05-08 18:07:55
Reporting Period:
2018-05-04
Accepted Time:
2018-05-08 18:07:55
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 2018-05-04 930 $12.77 141,929 No 4 M Direct
Common Stock Acquisiton 2018-05-04 3,938 $15.65 145,867 No 4 M Direct
Common Stock Acquisiton 2018-05-04 2,361 $16.25 148,228 No 4 M Direct
Common Stock Acquisiton 2018-05-04 3,938 $14.52 152,166 No 4 M Direct
Common Stock Acquisiton 2018-05-04 7,876 $12.44 160,042 No 4 M Direct
Common Stock Acquisiton 2018-05-04 11,813 $9.51 171,855 No 4 M Direct
Common Stock Acquisiton 2018-05-04 8,500 $11.02 180,355 No 4 M Direct
Common Stock Acquisiton 2018-05-04 13,171 $18.77 193,526 No 4 M Direct
Common Stock Acquisiton 2018-05-04 3,013 $14.21 196,539 No 4 M Direct
Common Stock Disposition 2018-05-04 8,345 $61.22 188,194 No 4 S Direct
Common Stock Disposition 2018-05-04 38,385 $62.53 149,809 No 4 S Direct
Common Stock Disposition 2018-05-04 8,810 $62.96 140,999 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 M Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S 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 2018-05-04 930 $0.00 930 $12.77
Common Stock Stock Options (right to buy) Disposition 2018-05-04 3,938 $0.00 3,938 $15.65
Common Stock Stock Options (right to buy) Disposition 2018-05-04 2,361 $0.00 2,361 $16.25
Common Stock Stock Option (right to buy) Disposition 2018-05-04 3,938 $0.00 3,938 $14.52
Common Stock Stock Option (right to buy) Disposition 2018-05-04 7,876 $0.00 7,876 $12.44
Common Stock Stock Option (right to buy) Disposition 2018-05-04 11,813 $0.00 11,813 $9.51
Common Stock Stock Option (right to buy) Disposition 2018-05-04 8,500 $0.00 8,500 $11.02
Common Stock Stock Option (right to buy) Disposition 2018-05-04 13,171 $0.00 13,171 $18.77
Common Stock Stock Options (right to buy) Disposition 2018-05-04 3,013 $0.00 3,013 $14.21
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2013-10-27 2019-10-27 No 4 M Direct
0 2014-02-16 2020-02-16 No 4 M Direct
0 2014-04-20 2020-04-20 No 4 M Direct
0 2015-02-15 2021-02-15 No 4 M Direct
0 2015-07-22 2021-07-22 No 4 M Direct
0 2015-10-26 2021-10-26 No 4 M Direct
0 2013-01-03 2022-01-03 No 4 M Direct
43,429 2017-10-01 2024-01-01 No 4 M Direct
0 2015-04-28 2021-04-28 No 4 M Direct
Footnotes
  1. Shares exercised and sold in accordance with 10b5-1 trading plan.
  2. The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $60.78 to $61.71. 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 forth in this footnote.
  3. The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $61.85 to $62.85. 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 forth in this footnote.
  4. The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $62.86 to $63.13. 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 forth in this footnote.
  5. Represents 45,388 shares of Restricted Stock Units and 95,611 shares of common stock.