| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AEIS | Common Stock | Sale | -$95K | -1K | -38.2% | $95.00 | 1.62K | Nov 15, 2023 | Direct | F1 |
| holding | AEIS | Common Stock | 18.4K | Nov 15, 2023 | By Self As Trustee | F2 | |||||
| holding | AEIS | Common Stock | 18.4K | Nov 15, 2023 | By Spouse As Trustee | F3 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | The reported sale was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 14, 2023. |
| F2 | Shares held by the Kathryn A. Foster 2020 Spousal Trust, where the reporting person serves as a trustee and is a beneficiary. |
| F3 | Shares held by the Ronald C. Foster 2021 Trust, where his spouse serves as trustee and is a beneficiary. |