Frederick Ball - 05 May 2023 Form 4/A - Amendment Insider Report for ADVANCED ENERGY INDUSTRIES INC (AEIS)

Role: Director
Signature: /s/ Elizabeth Vonne - Attorney-in-Fact
Issuer symbol: AEIS
Transactions as of: 05 May 2023
Net transactions value: $0
Form type: 4/A - Amendment
Filing time: 06 May 2025, 20:00:10 UTC
Date Of Original Report: 09 May 2023
Previous filing: 06 May 2025
Next filing: 06 May 2025
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		+2,655	+7%		40,657	09 May 2023	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	+2,257		$0.000000	2,257	05 May 2023	Common Stock	2,257		Direct	F2, F3, F4
transaction	AEIS	Restricted Stock Units	Options Exercise	$0	-2,655	-100%	$0.000000	0	09 May 2022	Common Stock	2,655		Direct	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
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.
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.
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.