AEIS (AEIS) EVP and General Counsel sells 966 shares under 10b5-1 plan

Filing Impact

(Moderate)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

ADVANCED ENERGY INDUSTRIES INC executive Elizabeth Vonne Karpinski sold shares in a planned transaction. As EVP and General Counsel, she completed an open-market sale of 966 shares of common stock at $369.40 per share. The trade was executed under a pre-arranged Rule 10b5-1 trading plan adopted on November 12, 2025, indicating it was scheduled in advance rather than timed opportunistically. After this sale, she directly holds 11,616 shares. A portion of her position includes shares acquired through the company’s Dividend Reinvestment Plan.

Insider Trade Summary 10b5-1

Net Seller: 966 shares ($356,840)

Net Sell 1 txn

Insider Vonne Elizabeth Karpinski

Role EVP, General Counsel

Sold 966 shs ($357K)

Type	Security	Shares	Price	Value
Sale	Common Stock	966	$369.40	$357K

Holdings After Transaction: Common Stock — 11,616 shares (Direct, null)

Footnotes (1)

The reported sale was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 12, 2025. Amount includes 33.198 shares acquired through the Dividend Reinvestment Plan. The numbers reported herein are rounded to the nearest number.

Key Figures

Shares sold: 966 shares Sale price: $369.40 per share Shares held after transaction: 11,616 shares +1 more

4 metrics

Shares sold 966 shares Open-market sale on April 16, 2026

Sale price $369.40 per share Common Stock transaction

Shares held after transaction 11,616 shares Direct ownership following sale

Dividend Reinvestment Plan shares 33.198 shares Included in reported holdings, rounded in filing

Key Terms

Rule 10b5-1 trading plan, Dividend Reinvestment Plan, open-market sale

3 terms

Rule 10b5-1 trading plan regulatory

"The reported sale was made pursuant to a Rule 10b5-1 trading plan adopted..."

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

Dividend Reinvestment Plan financial

"Amount includes 33.198 shares acquired through the Dividend Reinvestment Plan."

A dividend reinvestment plan lets shareholders automatically use cash dividends to buy more shares of the same company instead of receiving the money. It matters to investors because it turns regular payouts into a steady way to grow ownership and take advantage of compound returns—like having your savings automatically buy additional slices of a pie over time—while often reducing transaction costs and smoothing purchase timing.

open-market sale financial

"transaction_action": "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

Form 4 Insider Transactions: What Each Field Means →

04/20/2026 - 12:47 PM

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).

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^*

Vonne Elizabeth Karpinski

(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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	EVP, General Counsel

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/16/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	04/16/2026		S⁽¹⁾		966	D	$369.4	11,616⁽²⁾	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. The reported sale was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 12, 2025.

2. Amount includes 33.198 shares acquired through the Dividend Reinvestment Plan. The numbers reported herein are rounded to the nearest number.

	Elizabeth Vonne	04/20/2026
	** 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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did AEIS EVP Elizabeth Vonne Karpinski report?

Elizabeth Vonne Karpinski reported an open-market sale of 966 shares of ADVANCED ENERGY INDUSTRIES common stock. The shares were sold at $369.40 each, and the transaction involved her directly held shares, as disclosed in a Form 4 insider filing.

At what price did the AEIS insider sell shares in this Form 4 filing?

The AEIS insider sale was executed at $369.40 per share. This price applies to the 966 common shares sold in an open-market transaction, as reported in the Form 4 submitted by EVP and General Counsel Elizabeth Vonne Karpinski.

How many AEIS shares does Elizabeth Vonne Karpinski hold after the sale?

After the reported sale, Elizabeth Vonne Karpinski directly holds 11,616 shares of AEIS common stock. This post-transaction balance reflects the reduction from selling 966 shares while retaining a substantial remaining equity position in the company.

Was the AEIS insider sale made under a Rule 10b5-1 trading plan?

Yes, the sale was executed under a Rule 10b5-1 trading plan. The footnote states the transaction followed a plan adopted by the reporting person on November 12, 2025, indicating it was pre-scheduled rather than a discretionary trade.

What role does Elizabeth Vonne Karpinski hold at ADVANCED ENERGY INDUSTRIES (AEIS)?

Elizabeth Vonne Karpinski serves as Executive Vice President and General Counsel at ADVANCED ENERGY INDUSTRIES. Her Form 4 filing reflects personal equity activity in the company’s common stock consistent with her status as a senior officer.

Does the AEIS Form 4 mention shares from a Dividend Reinvestment Plan?

Yes, a footnote explains that her holdings include 33.198 shares acquired through the Dividend Reinvestment Plan. The filing notes that reported share numbers, including these fractional DRIP shares, are rounded to the nearest whole number for disclosure.