Form 4/A for AEIS ADVANCED ENERGY INDUSTRIES INC
Accepted 2025-05-06 00:00:00 ET · period of report 2023-05-05 · accession 0000950170-25-064819 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DAI | 2025-05-06 | 2023-05-09 | AEIS | BALL FREDERICK | Dir | M - OptEx | — | +2,655 | 40.7K | +7% | — |
| DA | 2025-05-06 | 2023-05-05 | AEIS | BALL FREDERICK | Dir | A - Grant | $0.00 | +2,257 | 2,257 | New | $0 |
| DA | 2025-05-06 | 2022-05-09 | AEIS | BALL FREDERICK | Dir | M - OptEx | $0.00 | -2,655 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-05-09 | M | A | 2,655 | — | 40,657 | I By 1998 Ball Family Trust | — | — | (F1) Table I of the reporting person's Form 4 filed on May 9, 2023, omitted the acquisition of 2,655 shares acquired on the vesting of restricted stock units on May 9, 2022. Table 2 of that same Form 4 omitted the vesting of 2,655 shares of restricted stock units on May 9, 2022, and incorrectly included them in Table 2, Column 9, with a new grant of 2,257 restricted stock units. (F2) Table I, Column 5 of the reporting person's Form 4 filed on May 9, 2023, omitted 46 shares acquired through the dividend reinvestment plan. |
| 2 | Derivative | Restricted Stock Units | 2023-05-05 | A | A | 2,257 | $0.00 | 2,257 | D | — · — to — | 2,257 Common Stock | (F2) Table I, Column 5 of the reporting person's Form 4 filed on May 9, 2023, omitted 46 shares acquired through the dividend reinvestment plan. (F4) Table 2, Column 9 of the reporting person's Form 4 filed on May 9, 2023, incorrectly included 2,655 restricted stock units that vested with a new grant of 2,257 restricted stock units for a total of 4,912 of derivative securities. Please see footnote 1 above. (F3) The 2,257 unvested restricted stock units represent an annual grant of restricted stock units on May 9, 2022, as the equity portion of non-employee directors' retainer for Board services under the 2023 Amended and Restated Omnibus Incentive Plan. The units vest on the one-year anniversary of the grant date contingent upon the Director's continued service upon such date, are not exercisable, and do not have an expiration date. |
| 3 | Derivative | Restricted Stock Units | 2022-05-09 | M | D | 2,655 | $0.00 | 0 | D | — · — to — | 2,655 Common Stock | (F1) Table I of the reporting person's Form 4 filed on May 9, 2023, omitted the acquisition of 2,655 shares acquired on the vesting of restricted stock units on May 9, 2022. Table 2 of that same Form 4 omitted the vesting of 2,655 shares of restricted stock units on May 9, 2022, and incorrectly included them in Table 2, Column 9, with a new grant of 2,257 restricted stock units. |