Statement of Changes in Beneficial Ownership (4)
May 10 2013 - 5:26PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
ROGERSON GARRY W
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2. Issuer Name
and
Ticker or Trading Symbol
ADVANCED ENERGY INDUSTRIES INC
[
AEIS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
CEO
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(Last)
(First)
(Middle)
1625 SHARP POINT DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/8/2013
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(Street)
FORT COLLINS, CO 80525
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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5/8/2013
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A
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42135
(1)
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A
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$0.00
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61879
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D
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Common Stock
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5/9/2013
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F
(2)
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5287
(2)
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D
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$17.72
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56592
(3)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Performance Stock Option (right to buy)
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$17.80
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5/8/2013
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A
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V
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43103
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(4)
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(5)
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Common Stock
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43103
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$0.00
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43103
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D
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Performance Units
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(6)
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5/8/2013
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A
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V
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50287
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(7)
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(5)
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Common Stock
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50287
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$0.00
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50287
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D
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Explanation of Responses:
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(
1)
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The employee restricted stock units granted on 05/08/2013 will vest in three equal installments on 5/9/2013, 9/30/013 and 12/31/2013.
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(
2)
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Payment of tax liability by withholding securities incident to vesting of restricted stock units.
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(
3)
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Represents 56,592 shares of restricted stock units. As of the reporting date, the restricted stock units have vested as to 13,502 shares.
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(
4)
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These grants of performance options relate to the 2013 performance period and represent the maximum amount that may vest for the year assuming the Company achieves the annual stretch goal for return on net assets ("RONA"). The performance options may vest as to fewer than the maximum amount, provided that the Company achieves positive operating income.
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(
5)
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If the performance metrics for the reporting year have not been met as determined by the Compensation Committee, the unvested options and units for the applicable year will expire immediately. If any of the options vest, they will cancel ten years from the grant date.
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(
6)
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Each performance unit represents a right to receive one share of common stock or the cash equivalent.
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(
7)
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These awards of performance units relate to the 2013 performance periods and represent the maximun amount that may vest for the year assuming the Company achieves the annual stretch goal for RONA. The performance units may vest as to fewer than the maximum amount provided that the Company achieves positive operating income.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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ROGERSON GARRY W
1625 SHARP POINT DRIVE
FORT COLLINS, CO 80525
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X
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CEO
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Signatures
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/s/ Thomas O. McGimpsey
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5/10/2013
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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