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*
MCGIMPSEY THOMAS O

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

(Street)
FORT COLLINS CO 80525

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
08/08/2011
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)
EVP Gen Counsel & Corp Sec
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 7,669(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) 04/24/2009 04/24/2019 Common Stock 5,250 $7.95 D
Employee Stock Option (right to buy) 07/21/2009 07/21/2019 Common Stock 5,250 $11.21 D
Employee Stock Option (right to buy) 10/27/2009 10/27/2019 Common Stock 5,250 $12.77 D
Employee Stock Option (right to buy) 02/16/2010 02/16/2011 Common Stock 10,500 $15.65 D
Employee Stock Option (right to buy) 04/20/2010 04/20/2020 Common Stock 5,250 $16.25 D
Employee Stock Option (right to buy) 07/20/2010 07/20/2020 Common Stock 5,250 $13.85 D
Employee Stock Option (right to buy) 10/26/2010 10/26/2020 Common Stock 5,250 $14.5 D
Employee Stock Option (right to buy) 02/15/2011 02/15/2021 Common Stock 6,250 $14.52 D
Employee Stock Option (right to buy) 04/28/2011 04/28/2021 Common Stock 6,250 $14.21 D
Employee Stock Option (right to buy) 07/22/2011 07/22/2021 Common Stock 6,250(2) $12.44 D
Explanation of Responses:
1. Represents 7,451 shares of Restricted Stock Units (RSUs) and 218 shares of Employee Stock Purchase Plan Shares. The RSUs vest in four equal annual installments beginning on the first anniversary of the grant date. Mr. McGimpsey has been granted the following: 4/24/2009 750 shares, 7/21/2009 750 shares, 10/27/2009 750 shares, 2/16/2010 1,500 shares, 4/20/2010 750 shares, 7/20/2010 750 shares, 10/26/2010 750 shares, 2/15/2011 1,000 shares, 4/28/2011 1,000 shares, and 7/22/2011 1,000 shares. As of 8/8/2011, 1,135 shares of the RSUs are sellable.
2. Represents a total of 60,750 shares of Employee Stock Options granted (right to buy). Each grant will vest in four equal installments beginning of the anniversary of the grant date. As of the reporting date, 11,809 are vested.
Remarks:
/s/ Thomas O. McGimpsey 08/09/2011
** 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.
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