Form 4 for AEIS ADVANCED ENERGY INDUSTRIES INC
Accepted 2024-03-05 00:00:00 ET · period of report 2024-03-01 · accession 0001209191-24-004461 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2024-03-05 | 2024-03-01 | AEIS | Oldham Paul R | EVP, CFO | F - Tax | $101.20 | -794 | 31.4K | -2% | -$80.4K |
| D | 2024-03-05 | 2024-03-01 | AEIS | Oldham Paul R | EVP, CFO | D - Sale to Iss | — | -3,154 | 32.2K | -9% | — |
| DM | 2024-03-05 | 2024-03-01 | AEIS | Oldham Paul R | EVP, CFO | A - Grant | $0.00 | +22.7K | 9,796 | New | $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 | 2024-03-01 | F | D | 794 | $101.20 | 31,370 | D | — | — | (F2) Payment of tax liability by withholding securities incident to vesting of restricted stock units. (F3) Represents 11,422 unvested restricted stock units and 19,948 shares of common stock. |
| 2 | Common | Common Stock | 2024-03-01 | D | D | 3,154 | — | 32,164 | D | — | — | (F1) In connection with the 03/01/2024 vesting of previously granted restricted stock units, the reporting person's receipt of 3,154 shares of common stock was deferred pursuant to the reporting person's election under the Company's deferred compensation plan (the "Plan"), resulting in the reporting person's receipt instead of 3,154 shares of phantom stock. |
| 3 | Derivative | Restricted Stock Units | 2024-03-01 | A | A | 9,796 | $0.00 | 9,796 | D | $0.00 · — to — | 9,796 Common Stock | (F4) Employee restricted stock units granted 3/1/2024 under the Company's 2024 Long-Term Incentive Plan ("2024 LTI Plan"), which will vest in 3 equal installments beginning on the first anniversary of the grant date. |
| 4 | Derivative | Phantom Stock | 2024-03-01 | A | A | 3,154 | — | 3,154 | D | — · — to — | 3,154 Common Stock | (F1) In connection with the 03/01/2024 vesting of previously granted restricted stock units, the reporting person's receipt of 3,154 shares of common stock was deferred pursuant to the reporting person's election under the Company's deferred compensation plan (the "Plan"), resulting in the reporting person's receipt instead of 3,154 shares of phantom stock. (F6) Each share of phantom stock represents a right to receive one share of common stock or the cash value thereof. Shares of phantom stock become payable in accordance with the reporting person's distribution elections made pursuant to the Plan or upon the reporting person's termination of service, death, or disability. Subject to certain timing restrictions, the reporting person may transfer some or all of the shares of phantom stock into alternative investments under the terms of the Plan. |
| 5 | Derivative | Performance Units | 2024-03-01 | A | A | 9,796 | $0.00 | 9,796 | D | $0.00 · — to — | 9,796 Common Stock | (F5) These performance share awards were issued pursuant to the 2024 LTI Plan at 100% of target, have a 3-year vest period, and will vest in all or in part upon achievement of performance metrics. Any awards that have not been vested and released at the end of the 3-year period will be canceled. |