SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
McMahon John

(Last) (First) (Middle)
1625 SHARP POPINT DRIVE

(Street)
FORT COLLINS CO 80525

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
08/18/2010
3. Issuer Name and Ticker or Trading Symbol
ADVANCED ENERGY INDUSTRIES INC [ AEIS ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
(see remarks)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 4,689(1) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) (2) 10/28/2019 Common Stock ( the underlying security) 6,250 $8.95 D
Employee Stock Option (right to buy) (3) 02/19/2020 Common Stock ( the underlying security) 8,625 $7.69 D
Employee Stock Option (right to buy) (4) 04/24/2020 Common Stock ( the underlying security) 11,500 $7.95 D
Employee Stock Option (right to buy) (5) 07/21/2020 Common Stock ( the underlying security) 11,500 $11.21 D
Employee Stock Option (right to buy) (6) 10/27/2020 Common Stock ( the underlying security) 5,250 $12.77 D
Employee Stock Option (right to buy) (7) 02/16/2021 Common Stock ( the underlying security) 5,250 $15.65 D
Employee Stock Option (right to buy) (8) 04/20/2021 Common Stock ( the underlying security) 5,250 $16.25 D
Employee Stock Option (right to buy) (9) 07/20/2021 Common Stock ( the underlying security) 5,250 $13.85 D
Explanation of Responses:
1. Represents 4,689 shares of Restricted Stock Units.
2. The option is exercisable in four equal annual installments. The first installment of 1,562 options became exercisable on October 28, 2009 and the next three installments become exercisable on October 28, 2010, October 28, 2011 and October 28, 2012.
3. The remaining portion of the option becomes exercisable in three equal annual installments on February 19, 2011, February 19, 2012 and February 19, 2013.
4. The option is exercisable in four equal annual installments. The first installment of 2,875 options became exercisable on April 24, 2010 and the next three installments become exercisable on April 24, 2011, April 24, 2012 and April 24, 2013.
5. The option is exercisable in four equal annual installments. The first installment of 2,875 options became exercisable on July 21, 2010 and the next three installments become exercisable on July 21, 2011, July 21, 2012 and July 21, 2013.
6. The option is exercisable in four equal annual installments which become exercisable on October 27, 2010, October 27, 2011, October 27, 2012 and October 27, 2013.
7. The option is exercisable in four equal annual installments which become exercisable on February 16, 2011, February 16, 2012, February 16, 2013 and February 16, 2014.
8. The option is exercisable in four equal annual installments which become exercisable on April 20, 2011, April 20, 2012, April 20, 2013 and April 20, 2014.
9. The option is exercisable in four equal annual installments which become exercisable on July 20, 2011, July 20, 2012, July 20, 2013 and July 20, 2014.
Remarks:
Officer Title: principal financial officer, principal accounting officer, vice president and controller.
/s/ Thomas O. McGimpsey (Attorney-in-Fact) 08/25/2010
** 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 5 (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.