Form 4: Advanced Energy Industries EVP, CFO Paul R. Oldham Reports Stock Transactions

Paul R. Oldham, EVP and CFO of Advanced Energy Industries, reports transactions involving common stock and restricted stock units, including vesting, tax withholding, and deferred compensation elections.

Summary

• On March 1, 2025, Paul R. Oldham, EVP and CFO of Advanced Energy Industries, engaged in several transactions involving the company's stock.
• These transactions included the vesting of 3,266 restricted stock units (RSUs), which converted into common stock.
• A portion of the vested RSUs was used to cover tax liabilities, resulting in the disposal of 1,428 shares at a price of $115.17.
• Additionally, 3,153 shares of common stock were deferred under the company's deferred compensation plan, resulting in the receipt of an equivalent number of phantom stock shares.
• Oldham also acquired 10,112 employee RSUs and 10,111 performance units, both issued under the company's Amended and Restated 2023 Omnibus Incentive Plan.
• Following these transactions, Oldham directly owns 32,125 shares of common stock, 6,530 restricted stock units, 10,112 employee RSUs, 10,111 performance units, and 6,307 phantom stock shares.

Sentiment

Score: 5

Explanation: The Form 4 filing itself is neutral in sentiment. It simply reports transactions. The transactions themselves are part of a standard compensation package.

Positives

• The reporting person's holdings include a mix of common stock, restricted stock units, performance units, and phantom stock, indicating a long-term alignment with the company's performance.
• The acquisition of additional RSUs and performance units suggests continued participation in the company's incentive plans.

Industry Context

Form 4 filings are a routine part of corporate governance, providing transparency into the transactions of company insiders. These filings are closely watched by investors to gauge management's sentiment and confidence in the company's prospects.

Comparison to Industry Standards

• Executive compensation packages often include a mix of salary, stock options, restricted stock units, and performance-based incentives.
• The vesting schedules and performance metrics associated with RSUs and performance units are typical components of executive compensation plans in the technology industry.
• Deferred compensation plans are also common, allowing executives to defer income and potentially reduce their current tax liabilities.

Stakeholder Impact

• The transactions reported have a minimal direct impact on stakeholders.
• The vesting of RSUs and subsequent sale of shares to cover taxes may slightly increase the number of shares available in the market.

Key Dates