Colpitts Bernard Raymond Jr's Form 4 filing
Advanced Energy Industries IncAEIS · filed Mar 3, 2026
- Accession no.
- 0001699662-26-000002
- Filed
- Mar 3, 2026
- Trade date
- Mar 1-3, 2026
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 4 derivative transactions. Open-market sales total $359.5K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Colpitts Bernard Raymond JrCIK 0001699662 | Officer (SVP, Chief Accounting Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 1, 2026 | Common Stock | MOption exerciseAcquired | +979 | –F1 | – | 2,626 | Direct | |
| Mar 1, 2026 | Common Stock | MOption exerciseAcquired | +983 | –F2 | – | 3,609 | Direct | |
| Mar 1, 2026 | Common Stock | FTax withholdingDisposed | −858 | $335.57 | −$287,919.06 | 2,751 | Direct | |
| Mar 3, 2026 | Common Stock | SSaleDisposed | −1,104 | $325.60 | −$359,462.4 | 1,647 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 1, 2026 | Common Stock | MOption exerciseDisposed | −979 | $0.00 | $0 | 979 | Direct | |
| Mar 1, 2026 | Common Stock | MOption exerciseDisposed | −983 | $0.00 | $0 | 1,966 | Direct | |
| Mar 1, 2026 | Common Stock | AGrant or awardAcquired | +1,328 | $0.00 | $0 | 1,328 | Direct | |
| Mar 1, 2026 | Common Stock | AGrant or awardAcquired | +1,327 | $0.00 | $0 | 1,327 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
On March 1, 2024, the reporting person was granted 2,938 restricted stock units ("RSUs") vesting in three equal installments beginning on the first anniversary of the grant date, of which the second installment vested on March 1, 2026. RSUs convert into common stock on a one-for-one basis.
Referenced by the price of 1 transaction in Table I.
- F2
On March 1, 2025, the reporting person was granted 2,949 restricted stock units ("RSUs") vesting in three equal installments beginning on the first anniversary of the grant date, of which the first installment vested on March 1, 2026. RSUs convert into common stock on a one-for-one basis.
Referenced by the price of 1 transaction in Table I.