Advanced Energy director exercises 2,313 RSUs

Advanced Energy Industries director Frederick Ball exercised 2,313 restricted stock units on conversion into an equal number of common shares.

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Form Type

Rhea-AI Filing Summary

Advanced Energy Industries director Frederick Ball exercised 2,313 restricted stock units on conversion into an equal number of common shares. These units were granted on May 2, 2025 and vested on the one-year anniversary of that grant.

After the conversion, 3,820 common shares are associated with the 1998 Ball Family Trust, where Ball serves as trustee. Of this total, 2,313 shares are currently held directly by Ball with instructions to transfer them to the trust, and 1,507 shares are already held indirectly by the trust, including 189 acquired through the Dividend Reinvestment Plan. Separate holding entries show 20,000 common shares held indirectly in the Frederick A Ball Annuity Trust and 20,000 common shares held indirectly in the Lynn A Ball 2025 Annuity Trust.

Insider Trade Summary

2,313 shares exercised/converted

Exercise 4 txns

Insider BALL FREDERICK

Role Director

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units	2,313	$0.00	$0.00
Exercise	Common Stock	2,313	$0.00	$0.00
holding	Common Stock	--	--	--
holding	Common Stock	--	--	--

Holdings After Transaction: Restricted Stock Units — 0 contracts (Direct); Common Stock — 3,820 shares (Indirect, By 1998 Ball Family Trust); Common Stock — 20,000 shares (Indirect, Lynn A Ball 2025 Annuty Trust); Common Stock — 20,000 shares (Indirect, Frederick A Ball Annuity Trust)

Footnotes (4)

F1. On May 2, 2025, the reporting person was granted 2,313 restricted stock units, which vested on the one-year anniversary of the grant date. Restricted stock units convert to common stock on a one-for-one basis.
F2. Of this total amount of 3,820 shares: (A) 2,313 shares were issued and are held directly by the reporting person, and the reporting person has instructions in place to transfer the 2,313 shares to the 1998 Ball Family Trust; and (B) 1,507 shares are held indirectly by the 1998 Ball Family Trust, which includes a total of 189 shares acquired through the Dividend Reinvestment Plan.
F3. The reporting person serves as the trustee.
F4. Restricted stock units are not exercisable and do not have an expiration date.

Key Figures

RSUs exercised: 2,313 units Common shares after RSU conversion: 3,820 shares Existing trust holdings: 1,507 shares +4 more

7 metrics

RSUs exercised 2,313 units Restricted stock units converting to common stock on a one-for-one basis

Common shares after RSU conversion 3,820 shares Common shares associated with 1998 Ball Family Trust after transaction

Existing trust holdings 1,507 shares Common shares already held indirectly by 1998 Ball Family Trust, including DRIP

Dividend Reinvestment Plan shares 189 shares Portion of 1998 Ball Family Trust holdings acquired via DRIP

Frederick A Ball Annuity Trust holdings 20,000 shares Indirect common stock ownership via Frederick A Ball Annuity Trust

Lynn A Ball 2025 Annuity Trust holdings 20,000 shares Indirect common stock ownership via Lynn A Ball 2025 Annuity Trust

RSU exercise price $0.00 per unit Conversion price for 2,313 restricted stock units into common stock

Key Terms

restricted stock units, Dividend Reinvestment Plan, derivative security, indirect ownership, +1 more

5 terms

restricted stock units financial

"the reporting person was granted 2,313 restricted stock units, which vested on the one-year anniversary"

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.

Dividend Reinvestment Plan financial

"1,507 shares are held indirectly by the 1998 Ball Family Trust, which includes a total of 189 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.

derivative security financial

"transaction_code_description": "Exercise or conversion of derivative security""

A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.

indirect ownership financial

"total_shares_following_transaction": "20000.0000", "direct_or_indirect": "I""

restricted stock units are not exercisable financial

"Restricted stock units are not exercisable and do not have an expiration date."

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did Frederick Ball report at ADVANCED ENERGY INDUSTRIES (AEIS)?

Frederick Ball reported exercising 2,313 restricted stock units that converted into an equal number of common shares. The units were granted on May 2, 2025 and vested one year later, reflecting routine equity compensation rather than an open-market stock purchase or sale.

How many ADVANCED ENERGY INDUSTRIES shares are tied to the 1998 Ball Family Trust after this Form 4?

After the reported transaction, 3,820 common shares are associated with the 1998 Ball Family Trust. This consists of 2,313 newly issued shares currently held directly with instructions to transfer to the trust and 1,507 shares already held indirectly, including 189 via the Dividend Reinvestment Plan.

What happened to the 2,313 restricted stock units reported by Frederick Ball for AEIS?

The 2,313 restricted stock units granted on May 2, 2025 vested on the one-year anniversary of that grant and converted into 2,313 common shares on a one-for-one basis. Following conversion, the restricted stock unit position shows zero remaining units outstanding in this filing.

Does Frederick Ball hold ADVANCED ENERGY INDUSTRIES shares through trusts?

Yes. The filing shows indirect ownership of 20,000 common shares in the Frederick A Ball Annuity Trust and 20,000 common shares in the Lynn A Ball 2025 Annuity Trust. In addition, 1,507 shares are held indirectly by the 1998 Ball Family Trust, where Ball serves as trustee.

Were any ADVANCED ENERGY INDUSTRIES shares sold in this Form 4 by Frederick Ball?

The Form 4 does not report any open-market sales. It shows an exercise of 2,313 restricted stock units into common shares and updates to indirect holdings through trusts, with no transaction codes indicating sales or dispositions of common stock in the reported entries.

How many AEIS shares are linked to the Dividend Reinvestment Plan in this filing?

Within the 1,507 common shares held indirectly by the 1998 Ball Family Trust, the filing specifies that 189 shares were acquired through the Dividend Reinvestment Plan. This figure is part of the overall 3,820-share total associated with the trust after the reported transactions.

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Accepted by SEC EDGAR 05/05/2026 - 08:43 PM EDT

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^*

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)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/02/2026

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	05/02/2026		M		2,313	A	⁽¹⁾	3,820⁽²⁾	I	By 1998 Ball Family Trust
Common Stock								20,000⁽³⁾	I	Lynn A Ball 2025 Annuty Trust
Common Stock								20,000⁽³⁾	I	Frederick A Ball Annuity Trust

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)
Restricted Stock Units	⁽¹⁾	05/02/2026		M			2,313	⁽⁴⁾	⁽⁴⁾	Common Stock	2,313	$0	0	D

Explanation of Responses:

1. On May 2, 2025, the reporting person was granted 2,313 restricted stock units, which vested on the one-year anniversary of the grant date. Restricted stock units convert to common stock on a one-for-one basis.

2. Of this total amount of 3,820 shares: (A) 2,313 shares were issued and are held directly by the reporting person, and the reporting person has instructions in place to transfer the 2,313 shares to the 1998 Ball Family Trust; and (B) 1,507 shares are held indirectly by the 1998 Ball Family Trust, which includes a total of 189 shares acquired through the Dividend Reinvestment Plan.

3. The reporting person serves as the trustee.

4. Restricted stock units are not exercisable and do not have an expiration date.

	/s/ Elizabeth Vonne - Attorney-in-Fact	05/05/2026
	** 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