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Advanced Energy Industries CFO's Stock Sale: What Investors Should Know

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Advanced Energy Industries EVP & CFO Paul R. Oldham executed several transactions on June 20, 2025, as part of a pre-planned Rule 10b5-1 trading plan established on November 27, 2024:

  • Exercised 6,042 stock options at $85.97 per share
  • 4,869 shares were withheld for tax liability and option exercise price
  • Sold 1,173 shares at $131.29 per share

Following these transactions, Oldham's holdings consist of 31,006 shares, including 3,153 unvested restricted stock units and 27,853 shares of common stock. The transactions were executed under a Rule 10b5-1 plan, which provides a safe harbor from insider trading allegations by establishing predetermined trading parameters.

Positive

  • The EVP & CFO Paul R Oldham's stock transaction was executed according to a pre-planned Rule 10b5-1 trading plan established in November 2024, demonstrating proper compliance and forward planning
  • The CFO still maintains significant skin in the game with 31,006 shares beneficially owned after the transaction, including 27,853 shares of common stock and 3,153 restricted stock units

Negative

  • The CFO exercised and sold a portion of his holdings, with a net reduction of 6,042 shares through option exercise and subsequent sale/withholding at $131.29 per share
  • The transaction resulted in a decrease in the executive's direct ownership position from 37,048 to 31,006 shares
Insider Oldham Paul R
Role EVP, CFO
Sold 1,173 shs ($154K)
Type Security Shares Price Value
Exercise Employee Stock Option (Right to Buy) 6,042 $0.00 --
Exercise Common Stock 6,042 $85.97 $519K
Tax Withholding Common Stock 4,869 $131.29 $639K
Sale Common Stock 1,173 $131.29 $154K
Holdings After Transaction: Employee Stock Option (Right to Buy) — 6,042 shares (Direct); Common Stock — 37,048 shares (Direct)
Footnotes (1)
  1. The reported exercise of options and sale were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2024. Payment of tax liability and option exercise price by withholding securities incident to options exercised and same-day-sale. Represents 3,153 shares of unvested restricted stock units and 27,853 shares of common stock.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
 Check this box to indicate that a 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). See Instruction 10.
1. Name and Address of Reporting Person*
Oldham Paul R
(Last) (First) (Middle)
1595 WYNKOOP STREET, SUITE 800
(Street)
DENVER CO 80202
(City) (State) (Zip)
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)
EVP, CFO
3. Date of Earliest Transaction (Month/Day/Year)
06/20/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 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 I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 06/20/2025 M(1) 6,042 A $85.97 37,048 D
Common Stock 06/20/2025 F 4,869(2) D $131.29 32,179 D
Common Stock 06/20/2025 S(1) 1,173 D $131.29 31,006(3) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 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: 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) $85.97 06/20/2025 M(1) 6,042 03/16/2023 03/16/2033 Common Stock 6,042 $0 6,042 D
Explanation of Responses:
1. The reported exercise of options and sale were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2024.
2. Payment of tax liability and option exercise price by withholding securities incident to options exercised and same-day-sale.
3. Represents 3,153 shares of unvested restricted stock units and 27,853 shares of common stock.
/s/ Elizabeth Vonne - Attorney-in-Fact 06/24/2025
** Signature of Reporting Person Date
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 Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider trading activity occurred at AEIS on June 20, 2025?

EVP and CFO Paul R Oldham exercised 6,042 stock options at $85.97 per share and subsequently sold 1,173 shares at $131.29 per share. Additionally, 4,869 shares were withheld for tax liability and option exercise price payment.

How many shares does AEIS CFO Paul Oldham own after the June 20, 2025 transactions?

Following the reported transactions, Paul Oldham owns 31,006 shares in total, consisting of 3,153 unvested restricted stock units and 27,853 shares of common stock.

Was AEIS insider Paul Oldham's stock sale planned in advance?

Yes, the exercise of options and sale were executed pursuant to a Rule 10b5-1 trading plan that was adopted by Paul Oldham on November 27, 2024.

What was the exercise price and expiration date of AEIS stock options exercised by the CFO?

The employee stock options had an exercise price of $85.97 per share and an expiration date of March 16, 2033. They became exercisable on March 16, 2023.

What was the sale price of AEIS shares in the insider transaction on June 20, 2025?

The AEIS shares were sold at a price of $131.29 per share, representing a significant premium to the $85.97 option exercise price.