Filing Details
- Accession Number:
- 0001209191-14-022969
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-25 16:36:22
- Reporting Period:
- 2014-03-21
- Filing Date:
- 2014-03-25
- Accepted Time:
- 2014-03-25 16:36:22
- 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 | Acquisiton | 2013-03-21 | 5,000 | $14.40 | 38,232 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-03-21 | 5,000 | $10.90 | 43,232 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-03-21 | 10,000 | $27.10 | 33,232 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-03-21 | 2,000 | $0.00 | 31,232 | No | 4 | G | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | G | 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 | 2014-03-24 | 5,000 | $0.00 | 5,000 | $14.40 |
| Common Stock | Stock Options (right to buy) | Disposition | 2014-03-24 | 5,000 | $0.00 | 5,000 | $10.90 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2004-05-05 | 2014-05-05 | No | 4 | M | Direct |
| 0 | 2005-05-04 | 2015-05-04 | No | 4 | M | Direct |
Footnotes
- Shares sold in accordance with 10b5-1 trading plan.
- The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from 26.7025 to 27.39. 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.
- Shares held in the Richard P Beck Trust u/a dated July 19, 2000. Mr. Beck entered into a 10b5-1 for the purposes of gifting shares to The Polar Bears International. 2,000 shares were gifted to the Polar Bears International on 3/21/2014.
- 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. 21,232 of these shares are held in street name.
- As of this filing date, Mr. Beck all available granted options have vested and have been exercised.
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