STOCK TITAN
  1. Home
  2. Sec-filings
  3. AEIS
  4. [Form 4] ADVANCED ENERGY INDUSTRIES INC Insider Trading Activity

Director at Advanced Energy (AEIS) receives 587 restricted stock units grant

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

BALL FREDERICK reported acquisition or exercise transactions in this Form 4 filing.

ADVANCED ENERGY INDUSTRIES INC reported that director Frederick Ball received an annual equity grant of 587 restricted stock units on May 7, 2026. This award represents the equity portion of the non-employee directors' retainer under the 2023 Amended and Restated Omnibus Incentive Plan.

The restricted stock units will vest on the one-year anniversary of the grant date, contingent on his continued service as a director at that time. These units relate to an equivalent number of shares of common stock, are not exercisable, do not have an expiration date, and this filing shows 587 units held following the grant.

Positive

  • None.

Negative

  • None.
Insider BALL FREDERICK
Role null
Type Security Shares Price Value
Grant/Award Restricted Stock Units 587 $0.00 --
Holdings After Transaction: Restricted Stock Units — 587 shares (Direct, null)
Footnotes (1)
  1. Represents an annual grant of restricted stock units to the reporting person on May 7, 2026 as the equity portion of the non-employee directors' retainer for Board services under the 2023 Amended and Restated Omnibus Incentive Plan. The restricted stock units vest on the one-year anniversary of the grant date contingent upon the reporting person's continued service as director upon such date. Restricted stock units are not exercisable and do not have an expiration date.
RSUs granted 587 units Annual equity retainer granted May 7, 2026
Underlying common shares 587 shares Common stock associated with the RSU grant
Post-grant RSU holdings 587 units Total restricted stock units following this transaction
Restricted Stock Units financial
"Represents an annual grant of restricted stock units to the reporting person"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
non-employee directors' retainer financial
"as the equity portion of the non-employee directors' retainer for Board services"
2023 Amended and Restated Omnibus Incentive Plan financial
"for Board services under the 2023 Amended and Restated Omnibus Incentive Plan"
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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).
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*
BALL FREDERICK
(Last)(First)(Middle)
1595 WYNKOOP STREET, SUITE 800
(Street)
DENVER COLORADO 80202
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ADVANCED ENERGY INDUSTRIES INC [ AEIS ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/07/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

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)
CodeVAmount(A) or (D)Price
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units(1)05/07/2026A587 (2) (2)Common Stock587$0587D
Explanation of Responses:
1. Represents an annual grant of restricted stock units to the reporting person on May 7, 2026 as the equity portion of the non-employee directors' retainer for Board services under the 2023 Amended and Restated Omnibus Incentive Plan. The restricted stock units vest on the one-year anniversary of the grant date contingent upon the reporting person's continued service as director upon such date.
2. Restricted stock units are not exercisable and do not have an expiration date.
/s/ Elizabeth Vonne - Attorney-in-Fact05/08/2026
** Signature of Reporting PersonDate
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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did AEIS director Frederick Ball report?

Frederick Ball reported receiving an annual grant of 587 restricted stock units. The award is compensation for his Board service and is structured as equity, not a market purchase or sale of Advanced Energy Industries common stock.

How many restricted stock units did AEIS grant to the director?

Advanced Energy Industries granted 587 restricted stock units to director Frederick Ball. Each unit represents one share of common stock, providing equity-based compensation tied to future vesting, rather than immediate cash or open-market share purchases.

When do Frederick Ball’s AEIS restricted stock units vest?

The 587 restricted stock units vest on the one-year anniversary of the May 7, 2026 grant date. Vesting is contingent on Frederick Ball’s continued service as a director through that anniversary, aligning his compensation with ongoing Board responsibilities.

Are the AEIS restricted stock units exercisable or expiring securities?

The restricted stock units are not exercisable and do not have an expiration date. Instead, they convert into common shares upon vesting, assuming service conditions are met, making them different from traditional stock options with exercise prices and maturities.

What plan governs the AEIS director’s restricted stock unit grant?

The grant was made under Advanced Energy’s 2023 Amended and Restated Omnibus Incentive Plan. This plan provides the framework for equity awards, including non-employee director retainers in the form of restricted stock units tied to company common stock.