FREDERICK BALL - 02 May 2025 Form 4 Insider Report for ADVANCED ENERGY INDUSTRIES INC (AEIS)

Role
Director
Signature
/s/ Elizabeth Vonne - Attorney-in-Fact
Issuer symbol
AEIS
Transactions as of
02 May 2025
Net transactions value
$0
Form type
4
Filing time
06 May 2025, 19:27:18 UTC
Previous filing
06 Nov 2024
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
BALL FREDERICK Director 1595 WYNKOOP STREET, SUITE 800, DENVER /s/ Elizabeth Vonne - Attorney-in-Fact 06 May 2025 0001175993

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AEIS Common Stock Options Exercise +2,093 +5.3% 41,507 03 May 2025 By 1998 Ball Family Trust F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AEIS Restricted Stock Units Award $0 +2,313 $0.000000 2,313 02 May 2025 Common Stock 2,313 Direct F3, F4
transaction AEIS Restricted Stock Units Options Exercise $0 -2,093 -100% $0.000000 0 03 May 2025 Common Stock 2,093 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On May 3, 2024, the reporting person was granted 2,093 restricted stock units, which vested on the one-year anniversary of the grant date. Restricted stock units covert to common stock on a one-for-one basis.
F2 Of this total amount of 41,507 shares: (A) 2,093 shares were issued and are held directly by the reporting person, and the reporting person has instructions in place to transfer the 2,093 shares to the 1998 Ball Family Trust; and (B) 39,414 shares are held indirectly by the 1998 Ball Family Trust.
F3 Represents an annual grant of restricted stock units to the reporting person on May 2, 2025 as the equity portion of the non-employee directors' retainer for Board services under the 2023 Amended and Restated Omnibus Incentive Plan. The restricted stock units vest on the one-year anniversary of the grant date contingent upon the reporting person's continued service as director upon such date.
F4 Restricted stock units are not exercisable and do not have an expiration date.