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Oldham Paul R

Disclosed activity across 2 companies

Tapewire entity
57240
SEC CIK
0001421764

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ADVANCED ENERGY INDUSTRIES INCAEIS · Entity 3497EVP, CFOFebruary 20, 2025March 19, 2026
ELECTRO SCIENTIFIC INDUSTRIES INCESIO · Entity 160720CFO, Sr. VP of FinanceNovember 16, 2017November 20, 2017

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

ADVANCED ENERGY INDUSTRIES INC

Report date February 20, 2025 · Filed March 19, 2026 · Amendment

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect34,598 Reported balance After 2025-02-20 transaction · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · 2025-02-20 · Tax withholding · Disposed 3,189 · Balance 34,598

F1: Payment of tax liability by withholding securities incident to vesting of performance stock units.

F2: Due to an administrative error, the Form 4 filed on February 21, 2025 inadvertently reflected an incorrect amount of shares withheld for the payment of tax liability. As reflected in this amendment, the correct number of shares withheld on February 20, 2025 was 3,189 shares. As a result, the reporting person's beneficial ownership in Table I, Column 5 was underreported by 1,158 shares in the original February 21, 2025 filing and in the subsequent Forms 4 filed on February 28, 2025, March 4, 2025, March 18, 2025, June 24, 2025, November 21, 2025, February 20, 2026, and March 3, 2026.

Filing footnotes · ownership attribution and instrument terms

F1: Payment of tax liability by withholding securities incident to vesting of performance stock units.

F2: Due to an administrative error, the Form 4 filed on February 21, 2025 inadvertently reflected an incorrect amount of shares withheld for the payment of tax liability. As reflected in this amendment, the correct number of shares withheld on February 20, 2025 was 3,189 shares. As a result, the reporting person's beneficial ownership in Table I, Column 5 was underreported by 1,158 shares in the original February 21, 2025 filing and in the subsequent Forms 4 filed on February 28, 2025, March 4, 2025, March 18, 2025, June 24, 2025, November 21, 2025, February 20, 2026, and March 3, 2026.

ELECTRO SCIENTIFIC INDUSTRIES INC

Report date November 16, 2017 · Filed November 20, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect227,665.22 Ending reported balance After 2017-11-16 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2017-11-16 · Exercise / conversion · Acquired 60,000 · Balance 287,665.22

Row 2 · 2017-11-16 · Sale · Disposed 60,000 · Balance 227,665.22

F1: The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $24.00 to $24.15.

Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.11 · Expires 2018-01-06Direct0 Reported balance After 2017-11-16 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2017-11-16 · Exercise / conversion · Disposed 60,000 · Balance 0

F2: Option originally granted on January 7, 2008 and provided for vesting in four equal annual installments commencing on January 7, 2009.

Filing footnotes · ownership attribution and instrument terms

F1: The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $24.00 to $24.15.

F2: Option originally granted on January 7, 2008 and provided for vesting in four equal annual installments commencing on January 7, 2009.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
March 16, 2023 Filed Mar 20, 2023 20:10 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 1,122 $96.36 $108,115.92
Disclosure

SEC source: 0001209191-23-020033 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,351

F1 · shares: Payment of tax liability by withholding securities incident to vesting of restricted stock units.

F2 · balance_after: Represents 16,413 shares of unvested restricted stock units and 22,938 shares of common stock.

Read SEC document
March 03, 2023 Filed Mar 3, 2023 22:37 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 1,057 $94.58 $99,971.06
Disclosure

SEC source: 0001209191-23-015826 · doc4.xml · nonDerivative · entry 3

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,473

F3 · shares: Payment of tax liability by withholding securities incident to vesting of restricted stock units.

F4 · balance_after: Represents 18,971 shares of unvested restricted stock units and 21,502 shares of common stock.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 22:37 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantPerformance Units · Derivative 9,460 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-23-015826 · doc4.xml · derivative · entry 4

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,460

Underlying: Common Stock · 9,460 shares

Expires not disclosed

F5 · shares: These performance share awards were issued under the LTI Plan at 100% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

F5 · derivative.exercise_date: These performance share awards were issued under the LTI Plan at 100% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

F5 · derivative.expiration_date: These performance share awards were issued under the LTI Plan at 100% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 22:37 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 786 $93.47 $73,467.42
Disclosure

SEC source: 0001209191-23-015826 · doc4.xml · nonDerivative · entry 2

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,530

F2 · shares: Payment of tax liability by withholding securities incident to vesting of performance stock units.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 22:37 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantCommon Stock 9,460 $93.47 $884,226.20
Disclosure

SEC source: 0001209191-23-015826 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,316

F1 · shares: Employee Restricted Stock Units granted on 03/01/2023 under the Company's 2023 Long Term Incentive Plan (LTI Plan) will vest in 3 equal installments beginning on the first anniversary date of the grant.

Read SEC document
February 21, 2023 Filed Feb 23, 2023 21:28 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 976 $92.76 $90,533.76
Disclosure

SEC source: 0001209191-23-012189 · doc4.xml · nonDerivative · entry 2

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,856

F2 · shares: Payment of tax liability by withholding securities incident to vesting of performance stock units.

F3 · balance_after: Represents 13,759 shares of unvested restricted stock units and 19,097 shares of common stock.

Read SEC document
February 21, 2023 Filed Feb 23, 2023 21:28 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantCommon Stock 2,299 $92.76 $213,255.24
Disclosure

SEC source: 0001209191-23-012189 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,832

F1 · shares: These performance awards were reported voluntarily 3/3/2020. Certain Revenue and Earnings Per Shares 2020 performance metrics were met under the 2020 LTI Plan and the shares were approved for a 2/21/2023 release by the Board of Directors.

Read SEC document
November 04, 2022 Filed Nov 8, 2022 22:23 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 1,261 $83.00 $104,663.00
Disclosure

SEC source: 0001209191-22-056138 · doc4.xml · nonDerivative · entry 2

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,533

F2 · shares: Payment of tax liability by withholding securities incident to vesting of performance stock units.

F3 · balance_after: Represents 13,759 shares of unvested restricted stock units and 17,774 shares of common stock.

Read SEC document
November 04, 2022 Filed Nov 8, 2022 22:23 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantCommon Stock 3,616 $83.00 $300,128.00
Disclosure

SEC source: 0001209191-22-056138 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,794

F1 · shares: These performance awards were reported voluntarily 3/3/2020. Certain Revenue and Earnings Per Shares 2020 performance metrics were met under the 2020 LTI Plan and the shares were approved for a 11/4/2022 release by the Board of Directors.

Read SEC document
August 04, 2022 Filed Aug 8, 2022 20:29 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 639 $94.11 $60,136.29
Disclosure

SEC source: 0001209191-22-044799 · doc4.xml · nonDerivative · entry 2

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,178

F2 · shares: Payment of tax liability by withholding securities incident to vesting of performance stock units.

F3 · balance_after: Represents 13,759 shares of unvested restricted stock units and 15,419 shares of common stock.

Read SEC document
August 04, 2022 Filed Aug 8, 2022 20:29 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantCommon Stock 1,808 $94.11 $170,150.88
Disclosure

SEC source: 0001209191-22-044799 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,817

F1 · shares: These performance awards were reported voluntarily 3/3/2020. Certain Revenue and Earnings Per Shares 2020 performance metrics were met under the 2020 LTI Plan and the shares were approved for a 8/4/2022 release by the Board of Directors.

Read SEC document
March 16, 2022 Filed Mar 17, 2022 10:38 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantPerformance Units · Derivative 15,348 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-019401 · doc4.xml · derivative · entry 3

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,348

Underlying: Common Stock · 15,348 shares

Expires not disclosed

F4 · shares: These performance share awards were issued under the LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

F4 · derivative.exercise_date: These performance share awards were issued under the LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

F4 · derivative.expiration_date: These performance share awards were issued under the LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

Read SEC document
March 16, 2022 Filed Mar 17, 2022 10:38 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantEmployee Stock Option (right to buy) · Derivative 18,126 $0.00 Strike: $85.97 $0.00
Disclosure

SEC source: 0001209191-22-019401 · doc4.xml · derivative · entry 2

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,126

Underlying: Common Stock · 18,126 shares

Expires 2033-03-16

F3 · shares: The employee stock options granted on 3/16/2022 under the Company's Long Term Incentive Plan (LTI Plan) will vest in three equal annual installments beginning on the first anniversary of the grant.

Read SEC document
March 16, 2022 Filed Mar 17, 2022 10:38 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantCommon Stock 7,674 $85.97 $659,733.78
Disclosure

SEC source: 0001209191-22-019401 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,009

F1 · shares: Employee Restricted Stock Units granted on 03/16/2022 under the Company's 2022 Long Term Incentive Plan (LTI Plan) will vest in 3 equal installments beginning on the first anniversary date of the grant.

F2 · balance_after: Represents 13,759 shares of unvested restricted stock units and 14,250 shares of common stock.

Read SEC document
March 03, 2022 Filed Mar 7, 2022 21:22 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 841 $86.38 $72,645.58
Disclosure

SEC source: 0001209191-22-016642 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,335

F1 · shares: Payment of tax liability by withholding securities incident to vesting of restricted stock units.

F2 · balance_after: Represents 6,085 shares of unvested restricted stock units and 14,250 shares of common stock.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 21:39 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 641 $85.10 $54,549.10
Disclosure

SEC source: 0001209191-22-015473 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,176

F1 · shares: Payment of tax liability by withholding securities incident to vesting of restricted stock units.

F2 · balance_after: Represents 8,495 shares of unvested restricted stock units and 12,681 shares of common stock.

Read SEC document
February 22, 2022 Filed Feb 24, 2022 22:42 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 1,084 $83.62 $90,644.08
Disclosure

SEC source: 0001209191-22-012775 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,817

F1 · shares: Payment of tax liability by withholding securities incident to vesting of restricted stock units.

F2 · balance_after: Represents 10,333 shares of unvested restricted stock units and 11,484 shares of common stock.

Read SEC document
May 03, 2021 Filed May 5, 2021 20:24 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 624 $108.36 $67,616.64
Disclosure

SEC source: 0001209191-21-030331 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,901

F1 · shares: Payment of tax liability by withholding securities incident to vesting of restricted stock units.

F2 · balance_after: Represents 13,309 shares of unvested restricted stock units and 9,592 shares of common stock.

Read SEC document
March 03, 2021 Filed Mar 5, 2021 21:22 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 1,060 $105.26 $111,575.60
Disclosure

SEC source: 0001209191-21-018195 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,525

F1 · shares: Payment of tax liability by withholding securities incident to vesting of restricted stock units.

F2 · balance_after: Represents 14,729 shares of unvested restricted stock units and 8,796 shares of common stock.

Read SEC document
March 01, 2021 Filed Mar 3, 2021 21:38 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantPerformance Units · Derivative 11,025 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-21-016889 · doc4.xml · derivative · entry 2

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,025

Underlying: Common Stock · 11,025 shares

Expires not disclosed

F3 · shares: These performance share awards were issued under the 2021 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

F3 · derivative.exercise_date: These performance share awards were issued under the 2021 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

F3 · derivative.expiration_date: These performance share awards were issued under the 2021 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

Read SEC document
March 01, 2021 Filed Mar 3, 2021 21:38 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantCommon Stock 5,513 $111.37 $613,982.81
Disclosure

SEC source: 0001209191-21-016889 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,585

F1 · shares: Employee Restricted Stock Units granted on 03/01/2021 under the Company's 2021 Long Term Incentive Plan (LTI Plan) will vest in 3 equal installments beginning on the first anniversary date of the grant.

F2 · balance_after: Represents 17,140 shares of unvested restricted stock units and 7,445 shares of common stock.

Read SEC document
February 24, 2021 Filed Feb 26, 2021 22:04 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 1,536 $108.80 $167,116.80
Disclosure

SEC source: 0001209191-21-014824 · doc4.xml · nonDerivative · entry 2

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,072

F2 · shares: Payment of tax liability by withholding securities incident to vesting of performance stock units.

F3 · balance_after: Represents 11,627 shares of unvested restricted stock units and 7,445 shares of common stock.

Read SEC document
February 24, 2021 Filed Feb 26, 2021 22:04 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantCommon Stock 3,616 $108.80 $393,420.80
Disclosure

SEC source: 0001209191-21-014824 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,608

F1 · shares: These performance awards were reported voluntarily 3/3/2020. Certain Revenue and Earnings Per Shares 2020 performance metrics were met under the 2020 LTI Plan and the shares were approved for a 2/24/2021 release by the Board of Directors.

Read SEC document
February 22, 2021 Filed Feb 24, 2021 21:22 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 1,287 $104.30 $134,234.10
Disclosure

SEC source: 0001209191-21-013781 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,992

F1 · shares: Payment of tax liability by withholding securities incident to vesting of restricted stock units.

F2 · balance_after: Represents 11,627 shares of unvested restricted stock units and 5,365 shares of common stock.

Read SEC document
May 04, 2020 Filed May 6, 2020 20:22 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 525 $53.10 $27,877.50
Disclosure

SEC source: 0001209191-20-027471 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,279

F1 · shares: Payment of tax liability by witholding securities incident to vesting of restricted stock units.

F2 · balance_after: Represents 14,604 shares of unvested restricted stock units and 3,675 shares of common stock.

Read SEC document
March 03, 2020 Filed Mar 5, 2020 21:56 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantPerformance Units · Derivative 14,463 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-20-016652 · doc4.xml · derivative · entry 2

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,463

Underlying: Common Stock · 14,463 shares

Expires not disclosed

F3 · shares: These performance share awards were issued under the 2020 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

F3 · derivative.exercise_date: These performance share awards were issued under the 2020 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

F3 · derivative.expiration_date: These performance share awards were issued under the 2020 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

Read SEC document
March 03, 2020 Filed Mar 5, 2020 21:56 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantCommon Stock 7,231 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-016652 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,804

F1 · shares: Employee Restricted Stock Units granted on 03/03/2020 under the Company's 2020 Long Term Incentive Plan (LTI Plan) will vest in 3 equal installments beginning on the first anniversary date of the grant.

F2 · balance_after: Represents 16,024 shares of unvested restricted stock units and 2,780 shares of common stock.

Read SEC document
February 24, 2020 Filed Feb 26, 2020 21:49 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 1,163 $62.97 $73,234.11
Disclosure

SEC source: 0001209191-20-013058 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,573

F1 · shares: Payment of tax liability by witholding securities incident to vesting of restricted stock units.

F2 · balance_after: Represents 8,793 shares of unvested restricted stock units and 2,780 shares of common stock.

Read SEC document
May 02, 2019 Filed May 6, 2019 20:13 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 Tax withholdingCommon Stock 454 $57.36 $26,041.44
Disclosure

SEC source: 0001209191-19-027692 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,736

F1 · shares: Payment of tax liability by witholding securities incident to vesting of performance stock units.

F2 · balance_after: Represents 11,770 shares of Restricted Stock Units and 966 shares of common stock.

Read SEC document
February 22, 2019 Filed Feb 26, 2019 21:47 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantPerformance Units · Derivative 17,860 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-013578 · doc4.xml · derivative · entry 2

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,860

Underlying: Common Stock · 17,860 shares

Expires not disclosed

F3 · shares: These performance share awards were issued under the 2019 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

F3 · derivative.exercise_date: These performance share awards were issued under the 2019 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

F3 · derivative.expiration_date: These performance share awards were issued under the 2019 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

Read SEC document
February 22, 2019 Filed Feb 26, 2019 21:47 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantCommon Stock 8,930 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-013578 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,190

F1 · shares: Employee Restricted Stock Units granted on 2/22/2019 under the Company's 2019 Long Term Incentive Plan (LTI Plan) will vest in 3 equal installments beginning on the first anniversary date of the grant.

F2 · balance_after: Represents 13,190 shares granted as Restricted Stock Units. As of the transaction date, the restricted stock units have vested as to zero shares.

Read SEC document
May 02, 2018 Filed May 5, 2018 01:20 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantPerformance Units · Derivative 0 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-18-028206 · doc4.xml · derivative · entry 2

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,519

Underlying: Common Stock · 8,519 shares

Expires not disclosed

F3 · derivative.exercise_date: These performance share awards were issued under the 2018 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

F3 · derivative.expiration_date: These performance share awards were issued under the 2018 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

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May 02, 2018 Filed May 5, 2018 01:20 UTC ADVANCED ENERGY INDUSTRIES INC AEIS · Entity 3497 GrantCommon Stock 4,260 $61.15 $260,499.00
Disclosure

SEC source: 0001209191-18-028206 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,260

F1 · shares: Employee Restricted Stock Units granted on 05/02/2018 under the Company's 2018 Long Term Incentive Plan (LTI Plan) will vest in 3 equal installments beginning on the first anniversary date of the grant.

F2 · balance_after: Represents 4260 shares granted as Restricted Stock Units. As of the transaction date, the restricted stock units have vested as to zero shares.

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November 16, 2017 Filed Nov 20, 2017 10:11 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative 60,000 $0.00 Strike: $18.11 $0.00
Disclosure

SEC source: 0000726514-17-000080 · edgardoc.xml · derivative · entry 3

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,000 shares

Expires 2018-01-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Option originally granted on January 7, 2008 and provided for vesting in four equal annual installments commencing on January 7, 2009.

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November 16, 2017 Filed Nov 20, 2017 10:11 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 SaleCommon Stock 60,000 $24.08 $1,445,034.00
Disclosure

SEC source: 0000726514-17-000080 · edgardoc.xml · nonDerivative · entry 2

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,665.22

F1 · price: The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $24.00 to $24.15.

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November 16, 2017 Filed Nov 20, 2017 10:11 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 Exercise / conversionCommon Stock 60,000 $18.11 $1,086,600.00
Disclosure

SEC source: 0000726514-17-000080 · edgardoc.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,665.22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 09, 2017 Filed Nov 13, 2017 20:04 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 Exercise / conversionStock Appreciation Rights · Derivative 90,000 $0.00 Strike: $7.26 $0.00
Disclosure

SEC source: 0000726514-17-000079 · edgardoc.xml · derivative · entry 9

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,000 shares

Expires 2019-05-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The SOSAR was originally granted on May 14, 2009 and provided for vesting in four equal annual installments commencing on May 14, 2010.

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November 09, 2017 Filed Nov 13, 2017 20:04 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative 20,000 $0.00 Strike: $18.11 $0.00
Disclosure

SEC source: 0000726514-17-000079 · edgardoc.xml · derivative · entry 8

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 20,000 shares

Expires 2018-01-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Option originally granted on January 7, 2008 and provided for vesting in four equal annual installments commencing on January 7, 2009.

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November 09, 2017 Filed Nov 13, 2017 20:04 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 Exercise / conversionIncentive Stock Option (right to buy) · Derivative 10,000 $0.00 Strike: $15.78 $0.00
Disclosure

SEC source: 0000726514-17-000079 · edgardoc.xml · derivative · entry 7

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 10,000 shares

Expires 2018-05-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Option originally granted on May 15, 2008 and provided for vesting in four equal annual installments commencing on May 15, 2009.

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November 09, 2017 Filed Nov 13, 2017 20:04 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 SaleCommon Stock 90,000 $23.49 $2,113,839.00
Disclosure

SEC source: 0000726514-17-000079 · edgardoc.xml · nonDerivative · entry 6

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,665.22

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

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November 09, 2017 Filed Nov 13, 2017 20:04 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 Exercise / conversionCommon Stock 90,000 $7.26 $653,400.00
Disclosure

SEC source: 0000726514-17-000079 · edgardoc.xml · nonDerivative · entry 5

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,665.22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 09, 2017 Filed Nov 13, 2017 20:04 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 SaleCommon Stock 20,000 $23.49 $469,814.00
Disclosure

SEC source: 0000726514-17-000079 · edgardoc.xml · nonDerivative · entry 4

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,665.22

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

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November 09, 2017 Filed Nov 13, 2017 20:04 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 Exercise / conversionCommon Stock 20,000 $18.11 $362,200.00
Disclosure

SEC source: 0000726514-17-000079 · edgardoc.xml · nonDerivative · entry 3

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,665.22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 09, 2017 Filed Nov 13, 2017 20:04 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 SaleCommon Stock 10,000 $23.48 $234,763.00
Disclosure

SEC source: 0000726514-17-000079 · edgardoc.xml · nonDerivative · entry 2

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,665.22

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

Read SEC document
November 09, 2017 Filed Nov 13, 2017 20:04 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 Exercise / conversionCommon Stock 10,000 $15.78 $157,800.00
Disclosure

SEC source: 0000726514-17-000079 · edgardoc.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,665.22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 16, 2017 Filed May 18, 2017 16:40 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 GrantCommon Stock 4,235 $0.00 $0.00
Disclosure

SEC source: 0000726514-17-000033 · edgardoc.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,665.22

F1 · shares: Represents the first year attainment of the three-year performance-based restricted stock unit award granted on May 17, 2016. Earned shares are determined based on the relative performance of ESIO compared to the Russell 2000 Index. Although earned, vesting of any earned shares does not occur until three years after grant date, upon completion of the service period.

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May 15, 2017 Filed May 16, 2017 12:56 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 Tax withholdingCommon Stock 3,522 $8.32 $29,303.04
Disclosure

SEC source: 0000726514-17-000030 · edgardoc.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,430.22

F1 · kind: Payment of tax liability by delivering shares incident to the vesting of restricted stock units in accordance with Rule 16b-3.

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May 14, 2017 Filed May 15, 2017 19:46 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 Tax withholdingCommon Stock 3,817 $8.31 $31,719.27
Disclosure

SEC source: 0000726514-17-000027 · edgardoc.xml · nonDerivative · entry 3

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,952.22

F2 · kind: Payment of tax liability by delivering shares incident to the vesting of restricted stock units in accordance with Rule 16b-3.

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May 12, 2017 Filed May 15, 2017 19:46 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 Tax withholdingCommon Stock 3,133 $8.31 $26,035.23
Disclosure

SEC source: 0000726514-17-000027 · edgardoc.xml · nonDerivative · entry 2

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,769.22

F2 · kind: Payment of tax liability by delivering shares incident to the vesting of restricted stock units in accordance with Rule 16b-3.

Read SEC document
May 11, 2017 Filed May 15, 2017 19:46 UTC ELECTRO SCIENTIFIC INDUSTRIES INC ESIO · Entity 160720 GrantCommon Stock 30,700 $0.00 $0.00
Disclosure

SEC source: 0000726514-17-000027 · edgardoc.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · CFO, Sr. VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,902.22

F1 · shares: Time-Based Restricted Stock Units vest 25% of the total shares on the first four anniversaries of the grant date.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.