BALL FREDERICK 4

What Happened Frederick Ball, a director of Advanced Energy Industries, had 2,313 restricted stock units (RSUs) vest and convert into 2,313 common shares on May 2, 2026. The Form 4 records the conversion (derivative exercise/conversion, code M) and a simultaneous disposition of those 2,313 shares at $0.00, reflecting a transfer instruction rather than a cash sale. No cash proceeds were reported for the transfer.

Key Details

• Transaction date: May 2, 2026; Form 4 filed May 5, 2026.
• Transaction type: RSU vesting and conversion to common stock (reported as derivative exercise/conversion, code M).
• Shares converted: 2,313 RSUs -> 2,313 shares; disposition reported at $0.00 (transfer).
• Shares owned after transaction: 3,820 total beneficially owned (2,313 held directly by Ball; 1,507 held indirectly by the 1998 Ball Family Trust).
• Footnotes: RSUs were granted May 2, 2025 and vested on the one-year anniversary; Ball serves as trustee of the 1998 Ball Family Trust and has instructions to transfer the 2,313 newly issued shares to that trust. The trust’s 1,507 shares include 189 from the Dividend Reinvestment Plan.
• No sale for cash or open-market transaction was reported.

Context This was a vesting/conversion of RSUs, not an open-market purchase or sale. The reporting shows issuance and an immediate transfer instruction to a family trust (no cash exchanged), which is a common administrative move for executive compensation and estate planning and does not necessarily indicate buying or selling sentiment.