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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Employee Stock Option (right to buy) | $ 8.95 | 11/12/2013 | M | 4,688 (2) | 10/28/2012 | 10/28/2018 | Common Stock | 4,688 | $ 0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $ 7.69 | 11/12/2013 | M | 3,285 (2) | 02/19/2013 | 02/19/2019 | Common Stock | 3,285 | $ 0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $ 7.95 | 11/12/2013 | M | 6,563 (2) | 04/24/2013 | 04/24/2019 | Common Stock | 6,563 | $ 0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $ 9.51 | 11/12/2013 | M | 3,937 (2) | 10/26/2013 | 10/26/2021 | Common Stock | 3,937 | $ 0 | 3,937 (7) | D | ||||
| Employee Stock Option (right to buy) | $ 11.02 | 11/12/2013 | M | 18,184 (2) | 02/01/2013 | 01/03/2022 | Common Stock | 18,184 | $ 0 | 3,960 (8) | D | ||||
| Employee Stock Option (right to buy) | $ 11.02 | 11/13/2013 | M | 3,960 (2) | 02/01/2013 | 01/03/2022 | Common Stock | 3,960 | $ 0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $ 13.7 | 11/13/2013 | M | 4,688 (2) | 04/22/2012 | 04/22/2018 | Common Stock | 1,688 | $ 0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $ 14.02 | 11/13/2013 | M | 4,688 (2) | 07/29/2012 | 07/29/2018 | Common Stock | 4,688 | $ 0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $ 11.21 | 11/13/2013 | M | 6,563 (2) | 07/21/2013 | 07/21/2019 | Common Stock | 6,563 | $ 0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $ 12.77 | 11/13/2013 | M | 3,281 (2) | 10/24/2012 | 10/27/2022 | Common Stock | 3,281 | $ 0 | 2,352 (9) | D | ||||
| Employee Stock Option (right to buy) | $ 13.85 | 11/13/2013 | M | 7,875 (2) | 07/20/2012 | 07/20/2020 | Common Stock | 7,875 | $ 0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $ 12.44 | 11/13/2013 | M | 7,874 (2) | 07/22/2013 | 07/22/2021 | Common Stock | 7,874 | $ 0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $ 15.65 | 11/13/2013 | M | 1,010 (2) | 02/16/2013 | 02/16/2020 | Common Stock | 1,010 | $ 0 | 2,928 (10) | D | ||||
| Employee Stock Option (right to buy) | $ 15.65 | 11/14/2013 | M | 2,928 (2) | 02/16/2013 | 02/16/2020 | Common Stock | 2,928 | $ 0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $ 16.25 | 11/14/2013 | M | 7,875 (2) | 04/20/2013 | 04/20/2020 | Common Stock | 7,875 | $ 0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $ 14.5 | 11/14/2013 | M | 3,937 (2) | 10/26/2013 | 10/26/2020 | Common Stock | 3,937 | $ 0 | 3,938 (11) | D | ||||
| Employee Stock Option (right to buy) | $ 14.52 | 11/14/2013 | M | 3,937 (2) | 02/15/2013 | 02/15/2021 | Common Stock | 3,937 | $ 0 | 0 | D | ||||
| Employee Stock Option (right to buy) | $ 14.21 | 11/14/2013 | M | 7,874 (2) | 04/28/2013 | 04/28/2021 | Common Stock | 7,874 | $ 0 | 0 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| WASSERMAN YUVAL 1625 SHARP POINT DRIVE FORT COLLINS, CO 80525 |
President Thin Films Bus. Unit | |||
| /s/ Thomas O. McGimpsey (Attorney-in-Fact) | 11/14/2013 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Includes 11,790 shares of Restricted Stock Units. As of the reporting date the restricted stock units have vested as to 5,036 shares. |
| (2) | Sales reported in this Form 4 were effective pursuant to a Rule 10b5-1 plan. |
| (3) | The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $23.18 to $23.71. The reporting person undertakes to provide to Advanced Energy, any security holder of Advanced Energy, or the staff of the Securities and Exchange Commission, upon request, full information regarding each separate price within the ranges set forth in this footnote. |
| (4) | The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $23.19 to $23.81. The reporting person undertakes to provide to Advanced Energy, any security holder of Advanced Energy, or the staff of the Securities and Exchange Commission, upon request, full information regarding each separate price within the ranges set forth in this footnote. |
| (5) | The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $23.01 to $23.49. The reporting person undertakes to provide to Advanced Energy, any security holder of Advanced Energy, or the staff of the Securities and Exchange Commission, upon request, full information regarding each separate price within the ranges set forth in this footnote. |
| (6) | The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $22.52 to $23.16. The reporting person undertakes to provide to Advanced Energy, any security holder of Advanced Energy, or the staff of the Securities and Exchange Commission, upon request, full information regarding each separate price within the ranges set forth in this footnote. |
| (7) | The option represents a right to purchase a total of 15,750 shares, became exercisable in four equal annual installments beginning on 10/26/2012, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested as to a total of $7,874 shares, 3,937 of which remain unexercised |
| (8) | The option represents a right to purchase a total of 22,144 shares, which became exercisable on 1/3/2013. As of the transaction date, the option has vested as to a total of 22,144 shares, 3,960 of which remain unexercised. |
| (9) | The option represents a right to purchase a total of 12,195 shares, became exercisable in four equal annual installments beginning on 10/27/2010, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested as to a total of 12,195 shares, 2,352 of which remain unexercised. |
| (10) | The option represents a right to purchase a total of 11,812 shares, became exercisable in three equal annual installments beginning on 2/16/2011, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested as to a total of 11,812 shares, 2,928 of which remain unexercised. |
| (11) | The option represents a right to purchase a total of 15,750 shares, became exercisable in four equal annual installments beginning on 10/26/2011, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested as to a total of 11,812 shares, 3,938 of which remain unexercised. |