Filing Details
- Accession Number:
- 0001209191-17-041108
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-06-20 16:57:07
- Reporting Period:
- 2017-06-19
- Filing Date:
- 2017-06-20
- Accepted Time:
- 2017-06-20 16:57:07
- 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 | 2017-06-19 | 3,938 | $13.85 | 122,006 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-06-19 | 7,876 | $14.50 | 129,882 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-06-19 | 2,352 | $12.77 | 132,234 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2017-06-19 | 1,577 | $16.25 | 133,811 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-06-19 | 15,743 | $72.29 | 118,068 | 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 | S | Direct |
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 | 2017-06-19 | 3,938 | $0.00 | 3,938 | $13.85 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2017-06-19 | 7,876 | $0.00 | 7,876 | $14.50 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2017-06-19 | 2,352 | $0.00 | 2,352 | $12.77 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2017-06-19 | 1,577 | $0.00 | 1,577 | $16.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-07-20 | 2020-07-20 | No | 4 | M | Direct |
| 0 | 2014-10-26 | 2020-10-20 | No | 4 | M | Direct |
| 0 | 2013-10-27 | 2019-10-27 | No | 4 | M | Direct |
| 0 | 2014-04-20 | 2020-04-20 | No | 4 | M | Direct |
Footnotes
- Shares sold in accordance with 10b5-1 trading plan.
- Represents 79,639 shares of Restricted Stock Units and 38,429 Performance Shares.
- The option represents a right to purchase a total of 15,750 shares that became exercisable on 7/20/2014. As of the transaction date, the option is vested and zero options remain unexercised.
- The option represents a right to purchase a total of 15,750 shares that became exercisable on 10/26/2014. As of the transaction date, the option is vested and zero options remain unexercised.
- The option represents a right to purchase a total of 12,195 shares that became exercisable on 10/27/2013. As of the transaction date, the option is vested and zero options remain unexercised.
- The option represents a right to purchase a total of 13,389 shares that became exercisable on 4/20/2014. As of the transaction date, the option is vested and zero options remain unexercised.
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