Filing Details

Accession Number:
0001209191-14-007538
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-05 16:10:09
Reporting Period:
2014-02-04
Filing Date:
2014-02-05
Accepted Time:
2014-02-05 16:10:09
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
1234453 C Edward Grady 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 2014-02-04 1,700 $28.14 10,800 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan.
  2. The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $28.00 to $28.46. 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 saparate price within the ranges set forth in this footnote.
  3. Mr. Grady has been granted a total of 51,000 RSUs in six grants: (A) 15,000 RSUs granted on May 7, 2008;(B) 6,000 RSUs granted on May 6, 2009; (C) 6,000 RSUs granted on May 4, 2010. These RSUs vest in 4 equal installments beginning 1 year from grant date. (D) 8,000 RSUs granted May 4, 2011; (E) 8,000 RSUs granted May 2, 2012; (F) 8,000 RSUs granted May 1, 2013. These RSUs (D-F) will vest 100% on the first anniversary of the grant date. As of this filing date,9,500 RSU shares are unvested.