Filing Details
- Accession Number:
- 0001209191-13-052404
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-14 19:24:47
- Reporting Period:
- 2013-11-12
- Filing Date:
- 2013-11-14
- Accepted Time:
- 2013-11-14 19:24:47
- 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 Thin Films Bus. Unit | 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 | 2013-11-12 | 4,688 | $8.95 | 19,074 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-12 | 3,285 | $7.69 | 22,359 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-12 | 6,563 | $7.95 | 28,922 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-12 | 3,937 | $9.51 | 32,859 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-12 | 18,184 | $11.02 | 51,043 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-12 | 2,596 | $23.41 | 48,447 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-11-12 | 36,657 | $23.41 | 11,790 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-11-13 | 3,960 | $11.02 | 15,750 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-13 | 4,688 | $13.70 | 20,438 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-13 | 4,688 | $14.02 | 25,126 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-13 | 6,563 | $11.21 | 31,689 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-13 | 3,281 | $12.77 | 34,970 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-13 | 7,875 | $13.85 | 42,845 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-13 | 7,874 | $12.44 | 50,719 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-13 | 1,010 | $15.65 | 51,729 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-13 | 39,939 | $23.20 | 11,790 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-11-14 | 2,928 | $15.65 | 14,718 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-14 | 7,875 | $16.25 | 22,593 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-14 | 3,937 | $14.50 | 26,530 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-14 | 3,937 | $14.52 | 30,467 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-11-14 | 7,874 | $14.21 | 38,341 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-14 | 26,551 | $22.86 | 11,790 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
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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 | 2013-11-12 | 4,688 | $0.00 | 4,688 | $8.95 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-12 | 3,285 | $0.00 | 3,285 | $7.69 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-12 | 6,563 | $0.00 | 6,563 | $7.95 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-12 | 3,937 | $0.00 | 3,937 | $9.51 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-12 | 18,184 | $0.00 | 18,184 | $11.02 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-13 | 3,960 | $0.00 | 3,960 | $11.02 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-13 | 4,688 | $0.00 | 1,688 | $13.70 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-13 | 4,688 | $0.00 | 4,688 | $14.02 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-13 | 6,563 | $0.00 | 6,563 | $11.21 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-13 | 3,281 | $0.00 | 3,281 | $12.77 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-13 | 7,875 | $0.00 | 7,875 | $13.85 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-13 | 7,874 | $0.00 | 7,874 | $12.44 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-13 | 1,010 | $0.00 | 1,010 | $15.65 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-14 | 2,928 | $0.00 | 2,928 | $15.65 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-14 | 7,875 | $0.00 | 7,875 | $16.25 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-14 | 3,937 | $0.00 | 3,937 | $14.50 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-14 | 3,937 | $0.00 | 3,937 | $14.52 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-11-14 | 7,874 | $0.00 | 7,874 | $14.21 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2012-10-28 | 2018-10-28 | No | 4 | M | Direct |
| 0 | 2013-02-19 | 2019-02-19 | No | 4 | M | Direct |
| 0 | 2013-04-24 | 2019-04-24 | No | 4 | M | Direct |
| 3,937 | 2013-10-26 | 2021-10-26 | No | 4 | M | Direct |
| 3,960 | 2013-02-01 | 2022-01-03 | No | 4 | M | Direct |
| 0 | 2013-02-01 | 2022-01-03 | No | 4 | M | Direct |
| 0 | 2012-04-22 | 2018-04-22 | No | 4 | M | Direct |
| 0 | 2012-07-29 | 2018-07-29 | No | 4 | M | Direct |
| 0 | 2013-07-21 | 2019-07-21 | No | 4 | M | Direct |
| 2,352 | 2012-10-24 | 2022-10-27 | No | 4 | M | Direct |
| 0 | 2012-07-20 | 2020-07-20 | No | 4 | M | Direct |
| 0 | 2013-07-22 | 2021-07-22 | No | 4 | M | Direct |
| 2,928 | 2013-02-16 | 2020-02-16 | No | 4 | M | Direct |
| 0 | 2013-02-16 | 2020-02-16 | No | 4 | M | Direct |
| 0 | 2013-04-20 | 2020-04-20 | No | 4 | M | Direct |
| 3,938 | 2013-10-26 | 2020-10-26 | No | 4 | M | Direct |
| 0 | 2013-02-15 | 2021-02-15 | No | 4 | M | Direct |
| 0 | 2013-04-28 | 2021-04-28 | No | 4 | M | Direct |
Footnotes
- Includes 11,790 shares of Restricted Stock Units. As of the reporting date the restricted stock units have vested as to 5,036 shares.
- Sales reported in this Form 4 were effective 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 $23.18 to $23.71. 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 each separate price within the ranges set forth in this footnote.
- The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $23.19 to $23.81. 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 each separate price within the ranges set forth in this footnote.
- The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $23.01 to $23.49. 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 each separate price within the ranges set forth in this footnote.
- The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $22.52 to $23.16. 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 each separate price within the ranges set forth in this footnote.
- The option represents a right to purchase a total of 15,750 shares, became exercisable in four equal annual installments beginning on 10/26/2012, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested as to a total of $7,874 shares, 3,937 of which remain unexercised
- The option represents a right to purchase a total of 22,144 shares, which became exercisable on 1/3/2013. As of the transaction date, the option has vested as to a total of 22,144 shares, 3,960 of which remain unexercised.
- The option represents a right to purchase a total of 12,195 shares, became exercisable in four equal annual installments beginning on 10/27/2010, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested as to a total of 12,195 shares, 2,352 of which remain unexercised.
- The option represents a right to purchase a total of 11,812 shares, became exercisable in three equal annual installments beginning on 2/16/2011, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested as to a total of 11,812 shares, 2,928 of which remain unexercised.
- The option represents a right to purchase a total of 15,750 shares, became exercisable in four equal annual installments beginning on 10/26/2011, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested as to a total of 11,812 shares, 3,938 of which remain unexercised.
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