Frederick Ball - May 5, 2023 Form 4 Insider Report for ADVANCED ENERGY INDUSTRIES INC (AEIS)

Role
Director
Signature
/s/ Elizabeth Vonne - Attorney-in-Fact
Stock symbol
AEIS
Transactions as of
May 5, 2023
Transactions value $
$0
Form type
4
Date filed
5/9/2023, 10:59 AM
Previous filing
May 11, 2022
Next filing
May 7, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding AEIS Common Stock 37.9K May 5, 2023 By Ball Family Trust F1

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 Common Stock Award $0 +2.26K +85.01% $0.00 4.91K May 5, 2023 Common Stock 2.26K $0.00 Direct F2, F3, F4, F5, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents 37,917 shares issued to the 1998 Ball Family Trust, which includes shares acquired under the AEIS dividend reinvestment plan.
F2 Represents an annual grant of restricted stock units on May 5, 2023 as the equity portion of non-employee directors' retainer for Board services under the 2023 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.
F3 Restricted stock units are not exercisable.
F4 Restricted stock units do not have an expiration date.
F5 Represents 2,257 shares of unvested restricted stock units.
F6 Represents 4,912 shares of unvested restricted stock units.