Filing Details

Accession Number:
0001209191-13-031882
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-06-12 17:25:12
Reporting Period:
2013-06-10
Filing Date:
2013-06-12
Accepted Time:
2013-06-12 17:25:12
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
1202836 P Richard Beck 1625 Sharp Point Drive
Fort Collins CO 80525
Yes No 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 Disposition 2013-06-10 2,500 $18.17 49,232 No 4 S Direct
Common Stock Disposition 2013-06-10 3,500 $0.00 45,732 No 4 G Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 G Direct
Footnotes
  1. Shares sold in accordance with 10b5-1 trading plan.
  2. The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from 17.99 to 18.32. 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. Shares held in the Richard P. Beck Trust u/a dated July 19, 2000. Mr. Beck entered into a 10b5-1 plan. 3,500 shares to be transfered as gift to Polar Bears International.
  4. Mr. Beck has been granted a total of 60,000 RSUs in eight grants: (A) 2,000 RSUs granted on May 24, 2006; (B) 16,000 RSUs granted on May 2, 2007; (C) 6,000 RSUs granted on May 7, 2008; (D) 6,000 RSUs granted on May 6, 2009; (E) 6,000 RSUs granted on May 4, 2010. These grants vest annually in four equal installments beginning one year from grant date. (F) 8,000 RSUs granted on May 4, 2011; (G) 8,000 RSUs granted on May 2, 2012; (H) 8,000 RSUs granted on May 1, 2013 all (E-H) vested 100% on the first anniversary of the grant date. As of this filing, 50,500 restricted stock units vested. 36,232 of these shares are held in street name.