FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
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2. Issuer Name
and
Ticker or Trading Symbol
ADVANCED ENERGY INDUSTRIES INC [ AEIS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) SVP and CTO |
1625 SHARP POINT DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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FORT COLLINS, CO US |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying Derivative Security
(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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $28.1563 | 2/9/2000 (1) | 2/9/2009 | Common Stock | 10000 | 10000 | D |
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Employee Stock Option (right to buy) | $43.6875 | 1/13/2001 (1) | 1/13/2010 | Common Stock | 10000 | 20000 | D |
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Employee Stock Option (right to buy) | $26.125 | 2/7/2002 (1) | 2/7/2011 | Common Stock | 5000 | 25000 | D |
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Employee Stock Option (right to buy) | $28.55 | 4/11/2002 (1) | 4/11/2011 | Common Stock | 5000 | 30000 | D |
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Employee Stock Option (right to buy) | $36.49 | 5/24/2002 (3) | 5/24/2011 | Common Stock | 1000 | 31000 | D |
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Employee Stock Option (right to buy) | $32.19 | 7/11/2002 (1) | 7/11/2011 | Common Stock | 5000 | 36000 | D |
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Employee Stock Option (right to buy) | $18.00 | 10/10/2002 (1) | 10/10/2011 | Common Stock | 5000 | 41000 | D |
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Employee Stock Option (right to buy) | $24.90 | 2/12/2003 (1) | 2/12/2012 | Common Stock | 10000 | 51000 | D |
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Employee Stock Option (right to buy) | $38.55 | 4/16/2003 (1) | 4/16/2012 | Common Stock | 10000 | 61000 | D |
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Employee Stock Option (right to buy) | $17.85 | 7/18/2003 (1) | 7/18/2012 | Common Stock | 10000 | 71000 | D |
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Employee Stock Option (right to buy) | $7.70 | 10/17/2003 (1) | 10/17/2012 | Common Stock | 10000 | 81000 | D |
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Employee Stock Option (right to buy) | $9.12 | 2/12/2004 (1) | 2/12/2013 | Common Stock | 5000 | 86000 | D |
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Employee Stock Option (right to buy) | $7.61 | 4/16/2004 (1) | 4/16/2013 | Common Stock | 5000 | 91000 | D |
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Employee Stock Option (right to buy) | $19.24 | 7/23/2004 (1) | 7/23/2013 | Common Stock | 5000 | 96000 | D |
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Employee Stock Option (right to buy) | $22.52 | 10/15/2004 (1) | 10/15/2013 | Common Stock | 5000 | 101000 | D |
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Employee Stock Option (right to buy) | $22.30 | 2/11/2005 (1) | 2/11/2014 | Common Stock | 2500 | 103500 | D |
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Employee Stock Option (right to buy) | $20.81 | 4/14/2004 | A | 2500 | 4/14/2005 (1) | 4/14/2014 | Common Stock | 2500 | $20.81 | 106000 (2) | D |
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Employee Stock Option (right to buy) | $20.81 | 4/14/2004 | A | 3750 | 4/14/2005 (1) | 4/14/2014 | Common Stock | 3750 | $20.81 | 74382 (4) | I | By Spouse |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
SCHOLL RICHARD A
1625 SHARP POINT DRIVE FORT COLLINS, CO US |
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SVP and CTO |
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Signatures
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Michael El-Hillow - Attorney-in-Fact | 4/15/2004 | |
** Signature of Reporting Person |
Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | 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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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. |