Sec Form 4 Filing - WASSERMAN YUVAL @ ADVANCED ENERGY INDUSTRIES INC - 2013-02-15

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
WASSERMAN YUVAL
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)
President Thin Films Bus. Unit
(Last) (First) (Middle)
1625 SHARP POINT DRIVE
3. Date of Earliest Transaction (MM/DD/YY)
02/15/2013
(Street)
FORT COLLINS, CO80525
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 02/15/2013 M 31,319 A $ 14.05 ( 1 ) 56,836 D
Common Stock 02/15/2013 M 42,874 A $ 15.06 ( 2 ) 99,710 D
Common Stock 02/15/2013 M 3,937 A $ 16.25 103,647 D
Common Stock 02/15/2013 S 87,147 ( 3 ) D $ 18 16,500 D
Common Stock 02/15/2013 F 174 ( 4 ) D $ 17.95 16,326 D
Common Stock 02/19/2013 F 319 ( 4 ) D $ 18.36 16,007 ( 5 ) 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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) $ 13.7 02/15/2013 M 9,383 ( 6 ) 04/22/2018 Common Stock 9,383 $ 0 3,127 D
Employee Stock Option (right to buy) $ 14.02 02/15/2013 M 14,062 ( 7 ) 07/29/2018 Common Stock 14,062 $ 0 4,688 D
Employee Stock Option (right to buy) $ 14.5 02/15/2013 M 3,937 ( 8 ) 10/26/2020 Common Stock 3,937 $ 0 3,937 D
Employee Stock Option (right to buy) $ 14.52 02/15/2013 M 3,937 ( 9 ) 02/15/2021 Common Stock 3,937 $ 0 3,937 D
Employee Stock Option (right to buy) $ 14.93 02/15/2013 M 35,000 ( 10 ) 10/26/2017 Common Stock 35,000 $ 0 0 D
Employee Stock Option (right to buy) $ 15.65 02/15/2013 M 7,874 ( 11 ) 02/16/2020 Common Stock 7,874 $ 0 3,938 D
Employee Stock Option (right to buy) $ 16.25 02/15/2013 M 3,937 ( 12 ) 04/20/2020 Common Stock 3,937 $ 0 9,452 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
WASSERMAN YUVAL
1625 SHARP POINT DRIVE
FORT COLLINS, CO80525
President Thin Films Bus. Unit
Signatures
/s/ Thomas O. McGimpsey (Attorney-in-Fact) 02/20/2013
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The price reported in Column 4 is a weighted average price. These shares were acquired upon exeercise of multiple option grants with exercise prices ranging from $13.70 to $14.52, inclusive, as reported on Table II. The reporting person undertakes to provide to Advanced Energy, any security holder of Advanced Energy, or the staff of the Securities and Exchange Commission, upon request, full information regarding each separate price within the ranges set forth in this footnote.
( 2 )The price reported in Column 4 is a weighted average price. These shares were acquired upon exercise of multiple option grants with exercise prices ranging from $14.93 to $15.65, inclusive, as reported on Table II. The reporting person undertakes to provide to Advanced Energy, any security holder of Advanced Energy, or the staff of the Securities and Exchange Commission, upon request, full information regarding each separate price within the ranges set forth in this footnote.
( 3 )The sales reported were effected pursuant to a 10b5-1 plan adop ted by the reporting person on 3/7/2012.
( 4 )Payment of tax liability by witholding securities incident to vesting of restricted stock.
( 5 )Represents 16,007 shares of Restricted Stock Units. As of the reporting date 4,472 are vested.
( 6 )The option represents a right to purchase a total of 12,510 shares, became exercisable in four equal annual installments beginning on 5/22/2009, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 12,510 shares.
( 7 )The option represents a right to purchase a total of 18,750 shares, became exercisable in four equal annual installments beginning on 7/29/2009, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 18,750 shares.
( 8 )The option represents a right to purchase a total of 15,750 shares, becomes exercisable in four equal annual installments beginning on 10/26/2011, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 7,874 shares.
( 9 )The option represents a right to purchase a total of 11,812 shares, becomes exercisable in four equal annual installments beginning on 02/15/2012, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 3,937 shares.
( 10 )The option represents a right to purchase a total of 35,000 shares, became exercisable in four equal annual installments beginning on 10/26/2008, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 35,000 shares.
( 11 )The option represents a right to purchase a total of 11,812 shares, becomes exercisable in four equal annual installments beginning on 2/16/2011, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 7,874 shares.
( 12 )The option represents a right to purchase a total of 13,389 shares, becomes exercisable in four equal annual installments beginning on 4/20/2011, which was the first anniversary of the date on which the option was granted. As of the transaction date, the option has vested to 7,874 shares.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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