Frederick Ball - May 5, 2023 Form 4/A - Amendment 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/A - Amendment
Date filed
5/6/2025, 08:00 PM
Date Of Original Report
May 9, 2023
Previous filing
May 6, 2025
Next filing
May 6, 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 2025-05-06 0001175993

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AEIS Common Stock Options Exercise +2.66K +6.99% 40.7K May 9, 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 +2.26K $0.00 2.26K May 5, 2023 Common Stock 2.26K Direct F2, F3, F4
transaction AEIS Restricted Stock Units Options Exercise $0 -2.66K -100% $0.00 0 May 9, 2022 Common Stock 2.66K 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.