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| CIK | 927003 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Advanced Energy Industries, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-26966 ADV |
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| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2025 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Co |
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| August 5, 2025 |
Advanced Energy Reports Second Quarter 2025 Results Exhibit 99.1 Financial News Release Advanced Energy Reports Second Quarter 2025 Results ● Revenue was $441.5 million, above the high end of guidance ● Data Center Computing revenue reached a quarterly record and nearly doubled year-over-year ● GAAP EPS from continuing operations was $0.67 ● Non-GAAP EPS was $1.50, towards the high end of guidance DENVER, Colo., August 5, 2025 - Advanced Energy Ind |
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| May 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT Advanced Energy Industries, Inc. (Exact name of the registrant as specified in its charter) Delaware 000-26966 (State or other jurisdiction of incorporation) (Commission file number) 1595 Wynkoop Street, Suite 800 Denver, Colorado 80202 (Address of principal executive offices) (Zip code) E |
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| May 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2025 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Commi |
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| May 12, 2025 |
Exhibit 10.1 CREDIT AGREEMENT Dated as of May 8, 2025 among ADVANCED ENERGY INDUSTRIES, INC., as the Borrower, CERTAIN SUBSIDIARIES OF THE BORROWER PARTY HERETO, as the Guarantors, HSBC BANK USA, N.A., as the Administrative Agent, CITIBANK, N.A., WELLS FARGO SECURITIES, LLC, PNC BANK, NATIONAL ASSOCIATION, and JPMORGAN CHASE BANK, N.A., as the Co-Managers, HSBC BANK USA, N.A., as Sole Lead Arrange |
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| April 30, 2025 |
Advanced Energy Reports First Quarter 2025 Results Exhibit 99.1 Financial News Release Advanced Energy Reports First Quarter 2025 Results ● Revenue was $404.6 million, towards the high end of guidance ● Data Center Computing revenue reached a quarterly record and more than doubled year-over-year ● GAAP EPS from continuing operations was $0.65 ● Non-GAAP EPS was $1.23, towards the high end of guidance DENVER, Colo., April 30, 2025 - Advanced Energy |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-26966 AD |
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| April 30, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2025 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Co |
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| April 25, 2025 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 24, 2025 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Co |
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| March 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ◻ Defin |
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| March 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Defin |
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| February 18, 2025 |
Description of Advanced Energy Industries, Inc. Securities Exhibit 4.2 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 We are authorized to issue 70,000,000 shares of our common stock, $0.001 par value per share, and 1,000,000 shares of preferred stock, $0.001 par value per share. The following description of our common stock is a summary and does not purport to be complete. The descripti |
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| February 18, 2025 |
EX-19.1 4 aeis-20241231xex19d1.htm EX-19.1 Exhibit 19.1 INSIDER TRADING POLICY This Insider Trading Policy (the “Policy”) establishes rules and procedures with respect to trading in the securities of Advanced Energy Industries, Inc. and its subsidiaries (the “Company”) and certain other publicly traded companies. The Company’s Board of Directors has adopted this Policy to promote compliance with a |
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| February 18, 2025 |
Subsidiaries of Advanced Energy Industries, Inc. Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name Jurisdiction of Incorporation or Organization Advanced Energy Industries (Malaysia) SDN. BHD. Malaysia Advanced Energy Industries (Shenzhen) Co., Ltd. China Advanced Energy Industries (Thailand) Ltd. Thailand Advanced Energy Industries AE - Israel Ltd. Israel Advanced Energy Industries Limited Hong Kong Advanced Energy Industries U.K., Ltd. United K |
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| February 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-26966 ADVANCE |
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| February 18, 2025 |
Form of Restricted Stock Unit Agreement under the Amended and Restated 2023 Omnibus Incentive Plan Exhibit 10.24 ADVANCED ENERGY INDUSTRIES, INC. AMENDED AND RESTATED 2023 OMNIBUS INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD [EMPLOYEE IDENTIFIER] [FIRSTNAME] [LASTNAME] You have been granted an award of Restricted Stock Units (this “Award”) of Advanced Energy Industries, Inc. (the “Company”) under the Advanced Energy Industries, Inc. Amended and Restated 2023 Omnibus Incentive Plan (the “Plan”), e |
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| February 12, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 12, 2025 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) |
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| February 12, 2025 |
Advanced Energy Reports Fourth Quarter and Full Year 2024 Results Exhibit 99.1 Financial News Release Advanced Energy Reports Fourth Quarter and Full Year 2024 Results ● Q4 revenue was $415.4 million, above the high end of guidance ● Q4 GAAP EPS from continuing operations was $1.29; Q4 Non-GAAP EPS was $1.30, above the mid-point of guidance ● 2024 revenue was $1.48 billion ● 2024 GAAP EPS from continuing operations was $1.49; 2024 Non-GAAP EPS was $3.71 ● 2024 c |
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| October 30, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2024 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) ( |
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| October 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-2696 |
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| October 30, 2024 |
Advanced Energy Reports Third Quarter 2024 Results Exhibit 99.1 Financial News Release Advanced Energy Reports Third Quarter 2024 Results ● Revenue was $374.2 million, above the mid-point of guidance ● GAAP loss per share was $0.38, mainly due to closure of China production site ● Non-GAAP EPS was $0.98, above the mid-point of guidance ● Cash flow from continuing operations was $35.4 million DENVER, Colo., October 30, 2024 - Advanced Energy Indust |
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| September 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 9, 2024 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) |
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| September 11, 2024 |
EXHIBIT 10.1 Execution Version AMENDMENT NO. 4 TO CREDIT AGREEMENT AMENDMENT NO. 4 TO CREDIT AGREEMENT, dated as of September 9, 2024 (this “Amendment”), among ADVANCED ENERGY INDUSTRIES, INC., a Delaware corporation (the “Borrower”), each of the Guarantors party hereto, BANK OF AMERICA, N.A., as Administrative Agent (in such capacity and including any permitted successor or assign, the “Administr |
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| July 30, 2024 |
Advanced Energy Reports Second Quarter 2024 Results Exhibit 99.1 Financial News Release Advanced Energy Reports Second Quarter 2024 Results ● Revenue was $364.9 million, at the higher end of guidance ● GAAP EPS from continuing operations was $0.41, above the mid-point of guidance ● Non-GAAP EPS was $0.85, above the mid-point of guidance DENVER, Colo., July 30, 2024 - Advanced Energy Industries, Inc. (Nasdaq: AEIS), a global leader in highly enginee |
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| July 30, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 30, 2024 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Com |
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| July 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-26966 ADV |
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| June 18, 2024 |
Advanced Energy Announces No Intention to Make an Offer for XP Power Limited Exhibit 99.1 Advanced Energy Announces No Intention to Make an Offer for XP Power Limited DENVER, Colo., June 18, 2024 — Advanced Energy Industries, Inc. (Nasdaq: AEIS) – a global leader in highly engineered, precision power conversion, measurement and control solutions – confirms, further to its announcement of 21 May 2024, that it does not intend to make an offer for the shares of XP Power Limit |
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| June 18, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2024 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Com |
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| May 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT Advanced Energy Industries, Inc. (Exact name of the registrant as specified in its charter) Delaware 000-26966 (State or other jurisdiction of incorporation) (Commission file number) 1595 Wynkoop Street, Suite 800 Denver, Colorado 80202 (Address of principal executive offices) (Zip code) E |
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| May 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2024 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Comm |
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| May 21, 2024 |
Advanced Energy Announces Possible All-Cash Offer to Acquire XP Power Limited Exhibit 99.1 Advanced Energy Announces Possible All-Cash Offer to Acquire XP Power Limited DENVER, Colo., May 21, 2024 – Advanced Energy Industries, Inc. (Nasdaq: AEIS), a global leader in highly engineered, precision power conversion, measurement, and control solutions, today announced a possible offer of £19.50 per share in cash to acquire the entire issued and to be issued shares of XP Power Li |
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| May 1, 2024 |
Amended and Restated Certificate of Incorporation Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ADVANCED ENERGY INDUSTRIES, INC. Advanced Energy Industries, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the state of Delaware (the “Corporation”), DOES HEREBY CERTIFY: 1.The name of the Corporation is Advanced Energy Industries, Inc. The date of filing of the Corporation’s origina |
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| May 1, 2024 |
Third Amended and Restated By-Laws Exhibit 3.2 THIRD AMENDED AND RESTATED BY-LAWS OF ADVANCED ENERGY INDUSTRIES, INC. (A DELAWARE CORPORATION) ARTICLE I OFFICES Section 1. Registered Office. The registered office of Advanced Energy Industries, Inc. (the “Corporation”) in the State of Delaware shall be in the City of Wilmington, County of New Castle. Section 2. Other Offices. The Corporation shall also have and maintain an office or |
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| May 1, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2024 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Commi |
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| May 1, 2024 |
Advanced Energy Reports First Quarter 2024 Results Exhibit 99.1 Financial News Release Advanced Energy Reports First Quarter 2024 Results ● Revenue was $327.5 million, below guidance ● GAAP EPS from continuing operations was $0.15, within the guidance range ● Non-GAAP EPS was $0.58, within the guidance range DENVER, Colo., May 1, 2024 - Advanced Energy Industries, Inc. (Nasdaq: AEIS), a global leader in highly engineered, precision power conversio |
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| May 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-26966 AD |
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| May 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2024 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Co |
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| March 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ◻ Defin |
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| March 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Defin |
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| March 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ◻ Check the appropriate box: þ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ◻ Defin |
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| February 20, 2024 |
Subsidiaries of Advanced Energy Industries, Inc Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name Jurisdiction of Incorporation or Organization Advanced Energy Industries (Malaysia) SDN. BHD. Malaysia Advanced Energy Industries (Shenzhen) Co., Ltd. China Advanced Energy Industries (Thailand) Ltd. Thailand Advanced Energy Industries AE - Israel Ltd. Israel Advanced Energy Industries Limited Hong Kong Advanced Energy Industries U.K., Ltd. United K |
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| February 20, 2024 |
Exhibit 19.1 INSIDER TRADING POLICY This Insider Trading Policy (the “Policy”) establishes rules and procedures with respect to trading in the securities of Advanced Energy Industries, Inc. and its subsidiaries (the “Company”) and certain other publicly traded companies. The Company’s Board of Directors has adopted this Policy to promote compliance with applicable securities laws that prohibit ins |
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| February 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-26966 ADVANCE |
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| February 20, 2024 |
Form of Restricted Stock Unit Agreement under the Amended and Restated 2023 Omnibus Incentive Plan Exhibit 10.33 ADVANCED ENERGY INDUSTRIES, INC. AMENDED AND RESTATED 2023 OMNIBUS INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD [EMPLOYEE IDENTIFIER] [FIRSTNAME] [LASTNAME] You have been granted an award of Restricted Stock Units (this “Award”) of Advanced Energy Industries, Inc. (the “Company”) under the Advanced Energy Industries, Inc. Amended and Restated 2023 Omnibus Incentive Plan (the “Plan”), e |
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| February 20, 2024 |
Exhibit 97.1 Advanced Energy Industries, Inc. Compensation Clawback Policy As approved by the Board of Directors on November 2, 2023 1. Overview. Advanced Energy Industries, Inc. (the “Company”) has adopted this Compensation Clawback Policy (the “Policy”) to provide for the recovery, or “clawback,” of erroneously awarded incentive-based compensation from Section 16 Officers in the event of certain |
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| February 20, 2024 |
Form of Performance Stock Unit Agreement under the Amended and Restated 2023 Omnibus Incentive Plan Exhibit 10.32 ADVANCED ENERGY INDUSTRIES, INC. AMENDED AND RESTATED 2023 OMNIBUS INCENTIVE PLAN PERFORMANCE STOCK UNITS AWARD [PARTICIPANTID] [FIRSTNAME] [LASTNAME] You have been granted an award of Performance Stock Units (this “Award”) of Advanced Energy Industries, Inc. (the “Company”) under the Advanced Energy Industries, Inc. Amended and Restated 2023 Omnibus Incentive Plan (the “Plan”), effe |
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| February 20, 2024 |
Exhibit 10.34 Advanced Energy Industries, Inc. ANNUAL INCENTIVE PLAN Article 1. PURPOSE AND DURATION Section 1.1. Purpose. This Advanced Energy Industries, Inc. Annual Incentive Plan is intended to motivate employees of the Company and its Affiliates achieve performance objectives, measured on an annual basis, that are aligned with the Company’s objectives and which are intended to result in incre |
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| February 14, 2024 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d784088dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2024 in connection with their beneficial ownership of Advanced Energy Industries. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G |
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| February 14, 2024 |
EX-99.I 2 d784088dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2024 |
AEIS / Advanced Energy Industries, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d784088dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #4 Under the Securities and Exchange Act of 1934 Advanced Energy Industries (Name of Issuer) Common Stock (Title of Class of Securities) 007973100 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| February 13, 2024 |
AEIS / Advanced Energy Industries, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0190-advancedenergyindustr.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 13)* Name of issuer: Advanced Energy Industries Inc Title of Class of Securities: Common Stock CUSIP Number: 007973100 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriat |
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| February 6, 2024 |
Advanced Energy Reports Fourth Quarter and Full Year 2023 Results Exhibit 99.1 Financial News Release Advanced Energy Reports Fourth Quarter and Full Year 2023 Results ● Q4 revenue was $405 million, in line with the mid-point of guidance ● Q4 GAAP EPS from continuing operations was $1.01; Q4 Non-GAAP EPS was $1.24, above the mid-point of guidance ● 2023 revenue was $1.66 billion, with sales in the Industrial and Medical market growing 11% to a record $474 millio |
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| February 6, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 6, 2024 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) ( |
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| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2023 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) ( |
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| November 8, 2023 |
Form of Executive Change in Control and General Severance Agreement Exhibit 10.2 FORM OF EXECUTIVE CHANGE IN CONTROL & GENERAL SEVERANCE AGREEMENT This Executive Change in Control & General Severance Agreement (this “Agreement”), is made as of the [ ] day of [month] [year] (the “Effective Date”), by and between Advanced Energy Industries, Inc., a Delaware corporation (the “Company”), and [ name ] (the “Executive”). WITNESSETH WHEREAS, The Executive is expected to |
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| November 8, 2023 |
Amended and Restated 2023 Omnibus Incentive Plan Exhibit 10.1 ADVANCED ENERGY INDUSTRIES, INC. Amended and Restated 2023 Omnibus Incentive Plan (as amended and restated November 2, 2023) 1.Purpose; Effective Date; Effect on Prior Plan. (a)Purpose. The Advanced Energy Industries, Inc. 2023 Omnibus Incentive Plan (the “Plan”) has two complementary purposes: (i) to attract and retain outstanding individuals to serve as officers, directors, employee |
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| October 31, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2023 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) ( |
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| October 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-2696 |
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| October 31, 2023 |
Advanced Energy Reports Third Quarter 2023 Results Exhibit 99.1 Financial News Release Advanced Energy Reports Third Quarter 2023 Results ● Revenue was $410 million, within the guidance range ● GAAP EPS was $0.89, above the mid-point of guidance ● Non-GAAP EPS was $1.28, above the mid-point of guidance ● Cash flow from continuing operations was a record $73 million DENVER, Colo., October 31, 2023 - Advanced Energy Industries, Inc. (Nasdaq: AEIS), |
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| September 13, 2023 |
Exhibit 10.3 AMENDMENT NO. 3 TO CREDIT AGREEMENT AMENDMENT NO. 3 TO CREDIT AGREEMENT, dated as of September 7, 2023 (this “Amendment”), among ADVANCED ENERGY INDUSTRIES, INC., a Delaware corporation (the “Borrower”), each of the Guarantors party hereto, BANK OF AMERICA, N.A., as Administrative Agent (in such capacity and including any permitted successor or assign, the “Administrative Agent”), and |
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| September 13, 2023 |
Exhibit 99.1 ADVANCED ENERGY ANNOUNCES CLOSING OF OFFERING OF $575 MILLION OF 2.50% CONVERTIBLE SENIOR NOTES WITH INITIAL PURCHASERS’ OPTION FULLY EXERCISED DENVER, Colo., September 12, 2023 — Advanced Energy Industries, Inc. (Nasdaq: AEIS), a global leader in highly engineered, precision power conversion, measurement, and control solutions, announced today the closing of its previously announced |
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| September 13, 2023 |
Form of Confirmation for Warrants Exhibit 10.2 Certain personally identifiable information has been omitted from this exhibit in places marked “[***]” pursuant to Item 601(a)(6) under Regulation S-K. [Dealer’s name]1 [Dealer’s address] September [], 2023 To: Advanced Energy Industries, Inc. 1595 Wynkoop Street, Suite 800 Denver, Colorado 80202 Attention: [***] Telephone No.:[***] Re: [Base][Additional] Warrants The purpose of this |
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| September 13, 2023 |
Exhibit 4.1 ADVANCED ENERGY INDUSTRIES, INC. AND U.S. Bank Trust Company, National Association, as Trustee INDENTURE Dated as of September 12, 2023 2.50% Convertible Senior Notes due 2028 TABLE OF CONTENTS Page Article 1 Definitions Section 1.01 . Definitions1 Section 1.02 . References to Interest13 Article 2 Issue, Description, Execution, Registration and Exchange of Notes Section 2.01 . Design |
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| September 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2023 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) |
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| September 13, 2023 |
Form of Confirmation for Convertible Note Hedges Exhibit 10.1 Certain personally identifiable information has been omitted from this exhibit in places marked “[***]” pursuant to Item 601(a)(6) under Regulation S-K. [Dealer’s name]1 [Dealer’s address] September [], 2023 To: Advanced Energy Industries, Inc. 1595 Wynkoop Street, Suite 800 Denver, Colorado 80202 Attention: [***] Telephone No.:[***] Re: [Base][Additional] Call Option Transaction The |
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| September 8, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2023 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) |
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| September 8, 2023 |
ADVANCED ENERGY ANNOUNCES PRICING OF OFFERING OF $500 MILLION OF 2.50% CONVERTIBLE SENIOR NOTES Exhibit 99.1 ADVANCED ENERGY ANNOUNCES PRICING OF OFFERING OF $500 MILLION OF 2.50% CONVERTIBLE SENIOR NOTES DENVER, Colo., September 8, 2023 — Advanced Energy Industries, Inc. (Nasdaq: AEIS), a global leader in highly engineered, precision power conversion, measurement, and control solutions, announced today the pricing of its private offering of $500 million aggregate principal amount of 2.50% C |
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| September 6, 2023 |
ADVANCED ENERGY ANNOUNCES PROPOSED OFFERING OF $500 MILLION CONVERTIBLE SENIOR NOTES ADVANCED ENERGY ANNOUNCES PROPOSED OFFERING OF $500 MILLION CONVERTIBLE SENIOR NOTES DENVER, Colo. |
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| September 6, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 6, 2023 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) |
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| August 3, 2023 |
Exhibit 10.1 AE DEFERRED COMPENSATION PLAN Amended and Restated Effective as of August 1, 2023 TABLE OF CONTENTS Page ARTICLE I PURPOSE AND DEFINITIONS1 1.1Purpose1 1.2Definitions1 ARTICLE II PARTICIPATION6 2.1Enrollment Requirements6 2.2Commencement of Participation7 ARTICLE III DEFERRAL ELECTIONS7 3.1Elections to Defer Compensation7 3.2Deferral Amount7 3.3Time and Duration of Election7 |
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| August 3, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2023 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Co |
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| August 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-26966 ADV |
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| August 3, 2023 |
Advanced Energy Reports Second Quarter 2023 Results Exhibit 99.1 Financial News Release Advanced Energy Reports Second Quarter 2023 Results ● Revenue was $416 million, above the mid-point of guidance ● Industrial & Medical revenue was a quarterly record and grew 22% from last year ● GAAP EPS from continuing operations was $0.73 ● Non-GAAP EPS was $1.11, above the mid-point of guidance DENVER, Colo., August 3, 2023 - Advanced Energy Industries, Inc. |
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| May 26, 2023 |
EXHIBIT 1.01 Conflict Minerals Report of Advanced Energy Industries, Inc. For Year Ending December 31, 2022 Introduction and Company Overview This Conflict Minerals Report of Advanced Energy Industries, Inc. (“AE”) for the reporting year January 1, 2022 to December 31, 2022 was prepared in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). All references to "Compa |
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| May 26, 2023 |
SD 1 tmb-20230526xsd.htm SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT Advanced Energy Industries, Inc. (Exact name of the registrant as specified in its charter) Delaware 000-26966 (State or other jurisdiction of incorporation) (Commission file number) 1595 Wynkoop Street, Suite 800 Denver, Colorado 80202 (Address of principal exe |
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| May 3, 2023 |
Exhibit 107 Calculation of Filing Fee Table FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ADVANCED ENERGY INDUSTRIES, INC. |
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| May 3, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2023 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Commi |
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| May 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-26966 AD |
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| May 3, 2023 |
Advanced Energy Reports First Quarter 2023 Results Exhibit 99.1 Financial News Release Advanced Energy Reports First Quarter 2023 Results ● Revenue was $425 million, up 7% year-over-year and above the mid-point of guidance ● Industrial & Medical revenue was a quarterly record and grew 48% from last year ● GAAP EPS from continuing operations was $0.84 ● Non-GAAP EPS was $1.24, above the mid-point of guidance DENVER, Colo., May 3, 2023 - Advanced En |
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| May 3, 2023 |
Exhibit 10.1 Published CUSIP Number: 00790HAA4 Revolving Loan CUSIP Number: 00790HAB2 Term Loan CUSIP Number: 00790HAC0 CREDIT AGREEMENT Dated as of September 10, 2019, as amended by Amendment No. 1 dated as of September 9, 2021 and as amended by Amendment No. 2 dated as of March 31, 2023 among ADVANCED ENERGY INDUSTRIES, INC., as the Borrower, CERTAIN SUBSIDIARIES OF THE BORROWER PARTY HERETO, as |
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| May 3, 2023 |
File No. 333- As filed with the Securities and Exchange Commission on May 3, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ADVANCED ENERGY INDUSTRIES, INC. (Exact name of registrant as specified in its charter) Delaware 84-0846841 (State or other jurisdiction of incorporation or organization) (I.R.S. Em |
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| April 28, 2023 |
Advanced Energy Industries, Inc. 2023 Omnibus Incentive Plan, effective April 27, 2023. Exhibit 10.1 ADVANCED ENERGY INDUSTRIES, INC. 2023 OMNIBUS INCENTIVE PLAN 1.Purpose; Effective Date; Effect on Prior Plan. (a)Purpose. The Advanced Energy Industries, Inc. 2023 Omnibus Incentive Plan (the “Plan”) has two complementary purposes: (i) to attract and retain outstanding individuals to serve as officers, directors, employees, consultants and advisors, and (ii) to increase stockholder va |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2023 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Co |
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| March 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Defin |
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| March 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ◻ Defin |
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| February 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-26966 ADVANCE |
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| February 17, 2023 |
Subsidiaries of Advanced Energy Industries, Inc Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name Jurisdiction of Incorporation or Organization Advanced Energy Industries, Inc. United States Advanced Energy Industries (Shenzhen) Co., Ltd. China Advanced Energy Industries AE - Israel Ltd. Israel Advanced Energy Industries, GmbH Germany Advanced Energy Industries Limited Hong Kong Advanced Energy Industries U.K., Ltd. United Kingdom Advanced Energ |
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| February 17, 2023 |
Form of LTI Performance Stock Unit Agreement under 2017 Omnibus Incentive Plan * Exhibit 10.26 ADVANCED ENERGY INDUSTRIES, INC. LONG TERM INCENTIVE PLAN 2017 OMNIBUS INCENTIVE PLAN LTI PERFORMANCE STOCK UNIT AGREEMENT Advanced Energy Industries, Inc., a Delaware corporation (the “Company”), hereby awards performance stock units (“PSUs”) relating to shares of its common stock, $0.001 par value (the “Stock”), to you in the amounts outlined in the attached Notice of Award of Perf |
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| February 17, 2023 |
As filed with the Securities and Exchange Commission on February 17, 2023 As filed with the Securities and Exchange Commission on February 17, 2023 Registration No. |
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| February 17, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Advanced Energy Industries, Inc. |
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| February 17, 2023 |
Form of Restricted Stock Unit Agreement under 2017 Omnibus Incentive Plan * Exhibit 10.25 ADVANCED ENERGY INDUSTRIES, INC. 2017 OMNIBUS INCENTIVE PLAN RESTRICTED STOCK UNIT AGREEMENT Advanced Energy Industries, Inc., a Delaware corporation (the “Company”), hereby grants restricted stock units (“RSUs”) relating to shares of its common stock, $0.001 par value (the “Stock”), to the individual named below as the Grantee. The terms and conditions of the grant are set forth in |
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| February 17, 2023 |
Form of Director and Officer Indemnification Agreement Exhibit 10.2 Form of INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (the “Agreement”) is made and entered into as of between Advanced Energy Industries, Inc., a Delaware corporation (the “Company”), and (“Indemnitee”). RECITALS: WHEREAS, highly competent persons have become more reluctant to serve publicly held corporations as directors, officers, or in other capacities unless they are |
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| February 17, 2023 |
Exhibit 4.3 aDVANCED eNERGY iNDUSTRIES, Inc. to [*], Trustee INDENTURE Dated as of [*], 20 Debt Securities TABLE OF CONTENTS* Page Parties 1 Recitals 1 Article 1. Definitions1 Section 1.01. Definitions1 Article 2. Debt Security Forms.9 Section 2.01. Forms Generally9 Section 2.02. Forms of Debt Securities9 Section 2.03. Form of Trustee’s Certificate of Authentication10 Section 2.04. Debt Se |
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| February 14, 2023 |
EX-99.I 2 d343419dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2023 |
AEIS / Advanced Energy Industries, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SC 13G/A 1 d343419dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #3 Under the Securities and Exchange Act of 1934 Advanced Energy Industries (Name of Issuer) Common Stock (Title of Class of Securities) 007973100 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| February 14, 2023 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d343419dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2023 in connection with their beneficial ownership of Advanced Energy Industries. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G |
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| February 9, 2023 |
AEIS / Advanced Energy Industries, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0170-advancedenergyindustr.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 12)* Name of issuer: Advanced Energy Industries Inc. Title of Class of Securities: Common Stock CUSIP Number: 007973100 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropria |
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| February 8, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2023 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) ( |
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| February 8, 2023 |
Advanced Energy Reports Fourth Quarter and Full Year 2022 Results Exhibit 99.1 Financial News Release Advanced Energy Reports Fourth Quarter and Full Year 2022 Results ● Q4 revenue was $491 million, above the high end of guidance ● Q4 GAAP EPS from continuing operations was $1.20; Q4 Non-GAAP EPS was $1.70, above the mid-point of guidance ● 2022 revenue was a record $1.85 billion, with each end market up 20% or more ● 2022 GAAP EPS from continuing operations was |
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| February 6, 2023 |
AEIS / Advanced Energy Industries, Inc. / VICTORY CAPITAL MANAGEMENT INC Passive Investment SC 13G/A 1 advancedenergy13ga3123122.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Advanced Energy Industries (Name of Issuer) Common Stock (Title of Class of Securities) 007973100 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box |
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| December 30, 2022 |
December 30, 2022 BY EDGAR Submission Mr. Dale Welcome Ms. Anne McConnell Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Advanced Energy Industries, Inc. Form 10-K for the Fiscal Year Ended December 31, 2021 Filed March 16, 2022 File No. 000-26966 Dear Mr. Welcome and Ms. McConnell: Advanced Energy Industries, Inc. (the “Comp |
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| November 1, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2022 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporat |
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| November 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 1, 2022 |
Amended and Restated Deferred Compensation Plan * ? Exhibit 10.1 AE DEFERRED COMPENSATION PLAN Amended and Restated Effective as of July 27, 2022 ? TABLE OF CONTENTS Page ARTICLE I PURPOSE AND DEFINITIONS?1 1.1Purpose?1 1.2Definitions?1 ARTICLE II PARTICIPATION?6 2.1Enrollment Requirements?6 2.2Commencement of Participation?7 ARTICLE III DEFERRAL ELECTIONS?7 3.1Elections to Defer Compensation?7 3.2Deferral Amount?7 3.3Time and Duration of Electio |
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| November 1, 2022 |
Advanced Energy Announces Third Quarter 2022 Results Exhibit 99.1 Financial News Release Advanced Energy Announces Third Quarter 2022 Results ? Total revenue was $516 million, above high end of guidance range ? Revenue in each of our end markets grew greater than 40% year-over-year ? GAAP EPS from continuing operations was $1.99 ? Non-GAAP EPS was $2.12, above the high end of guidance range DENVER, Colo., November 1, 2022 - Advanced Energy Industrie |
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| October 24, 2022 |
? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2022 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdict |
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| August 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 3, 2022 |
Advanced Energy Announces Second Quarter 2022 Results and Increased Share Repurchase Authorization Exhibit 99.1 Financial News Release Advanced Energy Announces Second Quarter 2022 Results and Increased Share Repurchase Authorization ? Total revenue was a record $441 million, above high end of guidance range ? Semiconductor revenue was also a record and grew 30% from last year ? GAAP EPS from continuing operations was $1.19 ? Non-GAAP EPS was $1.44, above the high end of guidance range ? Increa |
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| August 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2022 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation |
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| June 16, 2022 |
EX-99.1 2 aeis-20220615xex99d1.htm EX-99.1 Advanced Energy Appoints Brian Shirley to Board of Directors DENVER, Colo., June 16, 2022 — Advanced Energy Industries, Inc. (NASDAQ: AEIS), a global leader in highly engineered, precision power conversion, measurement, and control solutions, today announced the appointment of Brian Shirley to its board of directors. Mr. Shirley brings decades of experi |
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| June 16, 2022 |
? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2022 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation |
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| May 27, 2022 |
? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD ? ? SPECIALIZED DISCLOSURE REPORT ? Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? ? Delaware 000-26966 (State or other jurisdiction of incorporation) (Commission file number) ? ? ? ? ? 1595 Wynkoop Street, Suite 800 Denver, Colorado 80202 (Address of principal executive |
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| May 27, 2022 |
? EXHIBIT 1.01 ? Conflict Minerals Report of Advanced Energy Industries, Inc. For Year Ending December 31, 2021 ? This Conflict Minerals Report of Advanced Energy Industries, Inc. (?AE?) for the reporting year January 1, 2021 to December 31, 2021 was prepared in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (?Rule 13p-1?). All references to "Company", "we", "our" and similar |
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| May 10, 2022 |
Submission of Matters to a Vote of Security Holders ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2022 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) |
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| May 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 4, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2022 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) |
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| May 4, 2022 |
Advanced Energy Reports First Quarter 2022 Results Exhibit 99.1 Financial News Release Advanced Energy Reports First Quarter 2022 Results ? Revenue was $397 million, above high end of guidance range ? Achieved record revenue in the Semiconductor market ? GAAP EPS from continuing operations was $0.98 ? Non-GAAP EPS was $1.24, above the high end of guidance range DENVER, Colo., May 4, 2022 - Advanced Energy Industries, Inc. (Nasdaq: AEIS), a global |
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| April 6, 2022 |
? ? PRESS RELEASE ? Exhibit 99.1 ? DENVER, Colo., April 6, 2022 ? Advanced Energy (Nasdaq: AEIS) ? a global leader in highly engineered, precision power conversion, measurement and control solutions ? today announced that Elizabeth K. Vonne has been appointed executive vice president, general counsel and corporate secretary, reporting to Steve Kelley, president and chief executive officer. ? ?I am |
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| April 6, 2022 |
Financial Statements and Exhibits, Other Events ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 6, 2022 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation |
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| April 4, 2022 |
? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2022 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation |
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| April 4, 2022 |
Stock Purchase Agreement, dated April 1, 2022, Exhibit 2.1 Execution Version ? Dated April 1, 2022 Stock Purchase Agreement ? by and among SL Power Electronics Corporation, SL Delaware Holdings, Inc., AEI US Subsidiary LLC, solely for purposes of Section 13.19, Advanced Energy Industries, Inc., and solely for purposes of Section 13.20, Steel Partners Holdings, L.P. ? ? ? ? ? ? ? ? AMERICAS 111469696 ? ? ? TABLE OF CONTENTS PAGE ? Article I PUR |
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| April 4, 2022 |
Exhibit 99.2 1 Acquisition of SL Power ? Supplementary Information APRIL 4, 2022 2 Statements in this presentation regarding the proposed transaction among Advanced Energy, SL Power Electronics and Steel Partners Holdings L.P., the expected timetable for completing the transaction, future financial and operating results, benefits and synergies of the transaction, and any other statements about Adv |
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| April 4, 2022 |
? ? PRESS RELEASE ? Exhibit 99.1 ? Advanced Energy to Acquire SL Power ? SL Power adds a complementary portfolio of power conversion products and solutions for medical and advanced industrial applications DENVER, Colo., April 4, 2022 ? Advanced Energy (Nasdaq: AEIS) ? a global leader in highly engineered, precision power conversion, measurement and control solutions ? today announced that it has e |
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| March 22, 2022 |
? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 21, 2022 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporatio |
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| March 17, 2022 |
u UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? ? ? ? Filed by the Registrant ? Filed by a Party other than the Registrant ? ? Check the appropriate box: ? ? ? ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| March 17, 2022 |
? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? ? ? ? Filed by the Registrant ? Filed by a Party other than the Registrant ? ? Check the appropriate box: ? ? ? ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| March 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 16, 2022 |
Subsidiaries of Advanced Energy Industries, Inc Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name Jurisdiction of Incorporation or Organization Advanced Energy Industries (Shenzhen) Co., Ltd. (manufacturing) China Advanced Energy Industries AE - Israel Ltd. Israel Advanced Energy Industries GmbH Germany Advanced Energy Industries Limited Hong Kong Advanced Energy Industries U.K. Limited United Kingdom Advanced Energy Industries, Inc., Shanghai C |
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| March 1, 2022 |
Exhibit 99.1 Statement from Ernst & Young LLP Exhibit 99.1 ? Ernst & Young LLP Suite 4800 370 17th Street Denver, CO 80202 ? March 1, 2022 ? Advanced Energy Industries, Inc. Denver, Colorado ? Ladies and Gentlemen: ? Pursuant to Rule 12b-25 of the General Rules and Regulations under the Securities Exchange Act of 1934, we inform you that we have been furnished a copy of Form 12b-25, to be filed by Advanced Energy Industries, Inc. on or about |
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| March 1, 2022 |
NT 10-K 1 tmb-20211231xnt10k.htm NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2021 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Re |
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| February 14, 2022 |
to Schedule 13G Joint Filing Agreement Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2022 in connection with their beneficial ownership of Advanced Energy Industries. |
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| February 14, 2022 |
AEIS / Advanced Energy Industries, Inc. / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #2 Under the Securities and Exchange Act of 1934 Advanced Energy Industries (Name of Issuer) Common Stock (Title of Class of Securities) 007973100 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| February 14, 2022 |
Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser ? Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 9, 2022 |
Advanced Energy Reports Fourth Quarter and Full Year 2021 Results Exhibit 99.1 Financial News Release Advanced Energy Reports Fourth Quarter and Full Year 2021 Results ? Q4 revenue was a record $397 million, above high end of guidance range ? Q4 GAAP EPS from continuing operations was $1.05 ? Q4 Non-GAAP EPS was $1.36, above the high end of guidance range ? 2021 revenue was a record $1.46 billion ? 2021 GAAP EPS from continuing operations was $3.51; non-GAAP EPS |
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| February 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 9, 2022 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporat |
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| February 9, 2022 |
AEIS / Advanced Energy Industries, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 11)* Name of issuer: Advanced Energy Industries Inc. Title of Class of Securities: Common Stock CUSIP Number: 007973100 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedul |
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| February 2, 2022 |
? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 1, 2022 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporat |
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| February 2, 2022 |
Advanced Energy Appoints David Reed to its Board of Directors ? ? Advanced Energy Appoints David Reed to its Board of Directors ? DENVER, Colo., February 2, 2022 ? Advanced Energy Industries, Inc. (NASDAQ: AEIS), a global leader in highly engineered, precision power conversion, measurement and control solutions, today announced the appointment of David Reed to its board of directors. ? ?We are pleased to welcome David to the Advanced Energy board of director |
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| November 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 9, 2021 |
Advanced Energy Industries, Inc. Deferred Compensation Plan Exhibit 10.4 Advanced Energy INdustries, Inc. DEFERRED COMPENSATION PLAN Effective December 1, 2021 ? ? ? ? ? 53656923.1 ? TABLE OF CONTENTS ?Page ARTICLE I PURPOSE AND DEFINITIONS?1 1.1 Purpose.?1 1.2 Definitions.?1 ARTICLE II PARTICIPATION?6 2.1 Enrollment Requirements.?6 2.2 Commencement of Participation.?6 ARTICLE III DEFERRAL ELECTIONS?6 3.1 Elections to Defer Compensation?6 3.2 Deferral Amou |
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| November 9, 2021 |
Transition and Separation Agreement of Mr. Dana Huth, dated July 7, 2021 Exhibit 10.1 TRANSITION AND SEPARATION AGREEMENT This Transition and Separation Agreement (the ?Agreement?) is entered into as of July 7, 2021 (the ?Execution Date?) by and between Advanced Energy Industries, Inc., a Delaware Corporation, having an address at 1595 Wynkoop Street, Suite 800, Denver, Colorado 80202 ("AEI" or the ?Company?) and Dana Huth (the "Employee?). The term AEI shall also incl |
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| November 8, 2021 |
Advanced Energy Announces Third Quarter 2021 Results Exhibit 99.1 Financial News Release Advanced Energy Announces Third Quarter 2021 Results ? Q3 revenue was $346 million, above the midpoint of guidance ? GAAP EPS from continuing operations was $0.55 ? Non-GAAP EPS was $0.89, above the midpoint of guidance DENVER, Colo., November 8, 2021 - Advanced Energy Industries, Inc. (Nasdaq: AEIS), a global leader in highly engineered, precision power convers |
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| November 8, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2021 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporat |
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| September 9, 2021 |
EX-10.2 2 aeis-20210909ex1021f5113.htm EX-10.2 Exhibit 10.2 AMENDMENT NO. 1 TO CREDIT AGREEMENT AMENDMENT NO. 1 TO CREDIT AGREEMENT, dated as of September 9, 2021 (this “Amendment”), among ADVANCED ENERGY INDUSTRIES, INC., a Delaware corporation (the “Borrower”), each of the Guarantors party hereto, BANK OF AMERICA, N.A., as Administrative Agent (in such capacity and including any permitted succes |
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| September 9, 2021 |
? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 9, 2021 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorpora |
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| September 8, 2021 |
? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2021 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? Delaware 000-26966 84-0846841 (State or other jurisdiction of |
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| September 8, 2021 |
Advanced Energy Names Eduardo Bernal as Chief Operations Officer Exhibit 99.1 Advanced Energy Names Eduardo Bernal as Chief Operations Officer DENVER, Colo., September 8, 2021 ? Advanced Energy Industries, Inc. (NASDAQ: AEIS), a global leader in highly engineered, precision power conversion, measurement and control solutions, announced today that Eduardo Bernal has joined the company as executive vice president and chief operations officer, reporting to Steve K |
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| September 8, 2021 |
Offer of Employment to Eduardo Bernal Acebedo dated August 2, 2021 Exhibit 10.1 ? August 2, 2021 Mr. Eduardo Bernal Acebedo [XXXXXX] Singapore 138642 Dear Eduardo, RE: Offer of Employment We are pleased to offer you the position of Executive Vice President & Chief Operations Officer with AES Global Holdings Pte. Ltd. (the "Company") with an anticipated start date of Monday September 13, 2021 (the "Start Date"), on the terms and subject to the conditions set out i |
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| August 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 4, 2021 |
? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2021 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation |
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| August 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2021 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporatio |
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| August 4, 2021 |
EX-99.1 2 aeis-20210804xex99d1.htm EX-99.1 Exhibit 99.1 Financial News Release Advanced Energy Announces Second Quarter 2021 Results and $200 million Share Repurchase Authorization ● Q2 revenue was $361 million, meeting the guidance midpoint and up 6% from last year ● GAAP EPS from continuing operations was $0.92 ● Non-GAAP EPS was $1.25, at midpoint of guidance and above year-ago EPS of $1.18 ● S |
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| July 9, 2021 |
? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 7, 2021 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) ? |
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| May 28, 2021 |
EXHIBIT 1.01 Conflict Minerals Report of Advanced Energy Industries, Inc. For Year Ending December 31, 2020 Introduction and Company Overview This Conflict Minerals Report of Advanced Energy Industries, Inc. (“AE”) for the reporting year January 1, 2020 to December 31, 2020 was prepared in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). All references to "Compa |
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| May 28, 2021 |
? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD ? ? SPECIALIZED DISCLOSURE REPORT ? Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? Delaware ? 000-26966 ? 84-0846841 (State or other jurisdiction of incorporation) ? (Commission File Number) ? (IRS Employer Identification No) ? ? ? ? ? ? 1595 Wynkoop Street, |
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| May 5, 2021 |
Advanced Energy Announces First Quarter 2021 Results EX-99.1 2 aeis-20210505xex99d1.htm EX-99.1 Exhibit 99.1 Financial News Release Advanced Energy Announces First Quarter 2021 Results ● Q1 revenue was $352 million, above the guidance midpoint of $350 million ● GAAP EPS from continuing operations was $0.99 ● Non-GAAP EPS was $1.29, above the guidance midpoint of $1.25 ● Q1 operating cash flow from continuing operations exceeded $54 million DENVER, C |
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| May 5, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2021 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) |
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| May 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 3, 2021 |
Submission of Matters to a Vote of Security Holders ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2021 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporatio |
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| March 10, 2021 |
DEFA14A 1 tmb-20210310xdefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ◻ Check the appropriate box: ◻ Preliminary Proxy Statement ◻ Confidential, for Use of the Commission Only |
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| March 10, 2021 |
u UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? ? ? ? Filed by the Registrant ? Filed by a Party other than the Registrant ? ? Check the appropriate box: ? ? ? ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| February 24, 2021 |
EX-10.32 2 aeis-20201231xex10d32.htm EX-10.32 Execution Copy AMENDMENT Dated as of January 11, 2021 to the SCHEDULE to the ISDA 2002 MASTER AGREEMENT dated as of April 2, 2020 between HSBC Bank USA, National Association and Advanced Energy Industries, Inc. (“Party A”) ( “Party B”) This Amendment (this “Amendment”) to the Schedule (the “Schedule”) to the ISDA 2002 Master Agreement referenced above |
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| February 24, 2021 |
Subsidiaries of Advanced Energy Industries, Inc. Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT ? Name Jurisdiction of Incorporation or Organization Advanced Energy Industries China Advanced Energy Industries (Shenzhen) Co., Ltd. (manufacturing) China Advanced Energy Industries AE - Israel Ltd. Israel Advanced Energy Industries GmbH Germany Advanced Energy Industries Limited Hong Kong Advanced Energy Industries U.K. Limited United Kingdom Advanced |
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| February 24, 2021 |
Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 12, 2021 |
EX-99.I 2 d104668dex99i.htm EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 12, 2021 |
SC 13G/A 1 d104668dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 Advanced Energy Industries (Name of Issuer) Common Stock (Title of Class of Securities) 007973100 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| February 12, 2021 |
to Schedule 13G Joint Filing Agreement EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 12, 2021 in connection with their beneficial ownership of Advanced Energy Industries. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is attac |
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| February 10, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 10)* Name of issuer: Advanced Energy Industries Inc. Title of Class of Securities: Common Stock CUSIP Number: 007973100 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedul |
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| February 10, 2021 |
Advanced Energy Announces Fourth Quarter and Full Year 2020 Results Exhibit 99.1 Financial News Release Advanced Energy Announces Fourth Quarter and Full Year 2020 Results ● Q4 revenue was $371 million, above the guidance midpoint of $360 million ● Fiscal 2020 revenue was $1.416 billion, up 79% over 2019 ● Q4 GAAP EPS from continuing operations was $1.09; non-GAAP EPS was $1.49, at the high end of the guidance range of $1.10 to $1.50 ● Fiscal 2020 non-GAAP EPS was |
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| February 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2021 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) ( |
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| February 10, 2021 |
Offer Letter dated February 8, 2021 EX-10.2 3 aeis-20210208xex10d2.htm EX-10.2 February 8, 2021 CONFIDENTIAL Stephen D. Kelley Dear Steve: We are extremely pleased to offer you the position of President & Chief Executive Officer of Advanced Energy Industries, Inc. (the “Company” or “Advanced Energy” or “AE”) on the terms set forth in this offer letter. We envision that you would start on March 1, 2021 (the “Start Date”) with your of |
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| February 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2021 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) |
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| February 10, 2021 |
Transition & Retirement Agreement dated February 8, 2021 EX-10.1 2 aeis-20210208xex10d1.htm EX-10.1 TRANSITION AND RETIREMENT AGREEMENT THIS TRANSITION AND RETIREMENT AGREEMENT (“Agreement”) is entered into as of February 8, 2021 by Yuval Wasserman, residing in Denver, Colorado (“Executive”) and Advanced Energy Industries, Inc., a Delaware corporation, located at 1595 Wynkoop Street (8th Floor), Denver, Colorado 80202 (“AEI”), for and on behalf of itsel |
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| February 10, 2021 |
EX-99.1 4 aeis-20210208xex99d1.htm EX-99.1 Advanced Energy Announces Retirement of President & CEO Yuval Wasserman and Appoints Stephen D. Kelley as Successor ● Steve Kelley will become Advanced Energy’s new president & CEO on March 1 ● Yuval Wasserman will remain as an executive advisor to the board and the new CEO through March 31, 2022 DENVER, Colorado (BUSINESS WIRE)—February 10, 2021 - Advanc |
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| February 4, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 1, 2021 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) ( |
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| February 4, 2021 |
Form of Long-Term Incentive Plan FORM OF 20 LONG-TERM INCENTIVE (LTI) PLAN PURPOSE OF THE PLAN The purpose of the 20 Long-Term Incentive Plan (the “Plan”) is to drive growth and shareholder value by providing incentives for Selected Participants (defined below) to deliver increasing revenue and earnings for Advanced Energy Industries, Inc. |
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| February 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Advanced Energy Industries (Name of Issuer) Common Stock (Title of Class of Securities) 007973100 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| February 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Advanced Energy Industries (Name of Issuer) Common Stock (Title of Class of Securities) 007973100 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| November 5, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission file number: 000-26 |
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| November 5, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2020 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) ( |
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| November 5, 2020 |
Advanced Energy Announces Third Quarter 2020 Results Exhibit 99.1 Financial News Release Advanced Energy Announces Third Quarter 2020 Results ● Q3 revenue was a record $390 million, above the guidance range of $325 million to $375 million ● Q3 GAAP EPS from continuing operations was $1.18 ● Q3 Non-GAAP EPS was also a record at $1.66, above the guidance range of $0.90 to $1.40 DENVER, Colo., November 5, 2020 - Advanced Energy Industries, Inc. (Nasdaq |
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| November 2, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 29, 2020 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) ( |
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| November 2, 2020 |
Advanced Energy Announces Departure of President & COO EX-99.1 2 aeis-20201029xex99d1.htm EX-99.1 Advanced Energy Announces Departure of President & COO DENVER, Colo., November 2, 2020 — Advanced Energy Industries, Inc. (NASDAQ: AEIS), a global leader in highly engineered, precision power conversion, measurement and control solutions, today announced that Neil Brinker, the company’s President & Chief Operating Officer, has decided to leave the company |
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| October 1, 2020 |
Advanced Energy Announces Appointment of Anne DelSanto and Lanesha Minnix to its Board of Directors Advanced Energy Announces Appointment of Anne DelSanto and Lanesha Minnix to its Board of Directors DENVER, Colo. |
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| October 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 1, 2020 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (C |
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| August 5, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended June 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission file number: 000-26966 A |
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| August 5, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2020 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Co |
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| August 5, 2020 |
Advanced Energy Announces Second Quarter 2020 Results Exhibit 99.1 Financial News Release Advanced Energy Announces Second Quarter 2020 Results ● Q2 revenue was a record $340 million, at the high end of the guidance range of $285 million to $345 million ● Q2 GAAP EPS from continuing operations was $0.76 ● Q2 Non-GAAP EPS was $1.18, above the guidance range of $0.50 to $1.10 DENVER, Colo., August 5, 2020 - Advanced Energy Industries, Inc. (Nasdaq: AEI |
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| June 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No) 1595 Wynkoop Street, Suite 800, Denver, Colorado 80202 (Address of |
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| June 1, 2020 |
EXHIBIT 1.01 Conflict Minerals Report of Advanced Energy Industries, Inc. For Year Ending December 31, 2019 Introduction and Company Overview This Conflict Minerals Report of Advanced Energy Industries, Inc. (“AE”) for the reporting year January 1, 2019 to December 31, 2019 was prepared in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). All references to "Compa |
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| May 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2020 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Comm |
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| May 20, 2020 |
Advanced Energy Promotes Neil Brinker to President EX-99.1 3 aeis-20200519xex99d1.htm EX-99.1 EXHIBIT 99.1 News Release Advanced Energy Promotes Neil Brinker to President DENVER, Colo., May 20, 2020 – Advanced Energy Industries, Inc. (NASDAQ: AEIS), a global leader in innovative power, measurement and control technologies, today announced the promotion of Neil D. Brinker to the position of President, effective May 20, 2020. Mr. Brinker will also c |
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| May 20, 2020 |
Second Amended and Restated By-Laws of Advanced Energy Industries, Inc. EXHIBIT 3.1 SECOND AMENDED AND RESTATED BY-LAWS OF ADVANCED ENERGY INDUSTRIES, INC. (A DELAWARE CORPORATION) Article I OFFICES Section 1. Registered Office. The registered office of the corporation in the State of Delaware shall be in the City of Wilmington, County of New Castle. Section 2. Other Offices. The corporation shall also have and maintain an office or principal place of business at such |
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| May 6, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2020 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Commi |
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| May 6, 2020 |
Advanced Energy Announces First Quarter 2020 Results Exhibit 99.1 Financial News Release Advanced Energy Announces First Quarter 2020 Results · Q1 revenue was $315.5 million, above the guidance midpoint of $310 million · Q1 GAAP EPS from continuing operations was $0.48 · Q1 Non-GAAP EPS was $0.91, above the guidance midpoint of $0.70 DENVER, Colo., May 6, 2020 - Advanced Energy Industries, Inc. (Nasdaq: AEIS), today announced financial results for t |
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| May 6, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended March 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission file number: 000-26966 |
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| May 4, 2020 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2020 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Co |
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| April 10, 2020 |
Exhibit 10.1 ISDA® International Swaps and Derivatives Association, Inc. 2002 MASTER AGREEMENT dated as of April 2, 2020 HSBC BANK USA, NATIONAL ASSOCIATION and ADVANCED ENERGY INDUSTRIES, INC. have entered and/or anticipate entering into one or more transactions (each a “Transaction”) that are or will be governed by this 2002 Master Agreement, which includes the schedule (the “Schedule”), and the |
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| April 10, 2020 |
Exhibit 10.5 HSBC Bank USA, National Association 452 Fifth Avenue New York, NY 10018 Fax: (212) 525-5517 From: HSBC Bank USA, National Association 452 Fifth Avenue, New York, NY 10018 To: Advanced Energy Industries, Inc. Date : 07 April 2020 Our Reference : 4762820N RATE SWAP TRANSACTION CONFIRMATION Dear Sir or Madam, The purpose of this agreement (this "Confirmation") is to confirm the terms and |
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| April 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 6, 2020 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Com |
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| April 10, 2020 |
Schedule to the Citibank ISDA Master Agreement Exhibit 10.4 Execution Copy ISDA® International Swaps and Derivatives Association, Inc. SCHEDULE to the 2002 Master Agreement dated as of April 7, 2020 between CITIBANK, N.A., a national banking association organized and existing under the laws of the United States of America (“Party A”), and ADVANCED ENERGY INDUSTRIES, INC., a corporation organized and existing under the laws of the State of Dela |
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| April 10, 2020 |
Schedule to the HSBC ISDA Master Agreement Exhibit 10.3 Execution Copy ISDA® International Swaps and Derivatives Association, Inc. SCHEDULE to the 2002 Master Agreement dated as of April 2, 2020 between HSBC BANK USA, NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (“Party A”), and ADVANCED ENERGY INDUSTRIES, INC., a corporation organized and existing under the laws |
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| April 10, 2020 |
EX-10.6 7 ex-10d6.htm EX-10.6 [Citi Logo] Exhibit 10.6 From: Citibank, N.A. Confirmations Unit 390 Greenwich Street – 5th Floor New York, NY 10013 USA LEI: E57ODZWZ7FF32TWEFA76 To: Advanced Energy Industries, Inc. Date : April 9, 2020 Our Reference : C47419468000 RATE SWAP TRANSACTION CONFIRMATION Dear Sir or Madam, The purpose of this agreement (this "Confirmation") is to confirm the terms and co |
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| April 10, 2020 |
Exhibit 10.2 ISDA® International Swaps and Derivatives Association, Inc. 2002 MASTER AGREEMENT dated as of April 7, 2020 CITIBANK, N.A. and ADVANCED ENERGY INDUSTRIES, INC. have entered and/or anticipate entering into one or more transactions (each a “Transaction”) that are or will be governed by this 2002 Master Agreement, which includes the schedule (the “Schedule”), and the documents and other |
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| March 11, 2020 |
AEIS / Advanced Energy Industries, Inc. DEF 14A - - DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a‑6(e)(2)) ☑ Defin |
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| March 11, 2020 |
AEIS / Advanced Energy Industries, Inc. DEFA14A - - DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| March 2, 2020 |
Description of Advanced Energy Industries, Inc. Securities Exhibit 4.2 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 We are authorized to issue 70,000,000 shares of our common stock, $0.001 par value per share, and 1,000,000 shares of preferred stock, $0.001 par value per share. The following description of our common stock is a summary and does not purport to be complete. The descripti |
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| March 2, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2019. or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission file number: 000-26966 ADVA |
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| March 2, 2020 |
Form of 2020 Short-Term Incentive Plan * Exhibit 10.13 Form of 2020 Short-Term Incentive (STI) Plan Purpose of the Plan The purpose of the 2020 Short-Term Incentive Plan (the “Plan”) is to reward Selected Participants (defined below) of Advanced Energy Industries, Inc. and its subsidiaries (the “Company”) for the achievement of specific Company strategic goals. Effective Date The Plan is in effect from January 1, 2020 to December 31, 202 |
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| March 2, 2020 |
Subsidiaries of Advanced Energy Industries, Inc. Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name Jurisdiction of Incorporation or Organization Advanced Energy Industries China Advanced Energy Industries (Shenzhen) Co., Ltd. (manufacturing) China Advanced Energy Industries AE - Israel Ltd. Israel Advanced Energy Industries GmbH Germany Advanced Energy Industries Limited Hong Kong Advanced Energy Industries U.K. Limited United Kingdom Advanced En |
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| February 18, 2020 |
Advanced Energy Announces Fourth Quarter and Full Year Fiscal 2019 Results EX-99.1 2 ex-99d1.htm EX-99.1 Exhibit 99.1 Financial News Release Advanced Energy Announces Fourth Quarter and Full Year Fiscal 2019 Results · Q4 revenue was $338.3 million, above the guidance range of $295 million to $325 million, driven by significant sequential growth in semiconductor equipment and data center computing · Q4 GAAP EPS from continuing operations was $0.27 · Q4 Non-GAAP EPS was $0 |
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| February 18, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 18, 2020 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) |
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| February 14, 2020 |
EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940. |
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| February 14, 2020 |
AEIS / Advanced Energy Industries, Inc. / AMERIPRISE FINANCIAL INC - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 Advanced Energy Industries, Inc (Name of Issuer) Common Stock (Title of Class of Securities) 007973100 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is f |
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| February 14, 2020 |
to Schedule 13G Joint Filing Agreement EX-99.II 3 d137619dex99ii.htm EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2020 in connection with their beneficial ownership of Advanced Energy Industries, Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule |
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| February 12, 2020 |
AEIS / Advanced Energy Industries, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 9)* Name of issuer: Advanced Energy Industries Inc Title of Class of Securities: Common Stock CUSIP Number: 007973100 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule |
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| January 31, 2020 |
AEIS / Advanced Energy Industries, Inc. / VICTORY CAPITAL MANAGEMENT INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Advanced Energy Industries (Name of Issuer) Common Stock (Title of Class of Securities) 007973100 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| December 20, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 18, 2019 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) |
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| November 22, 2019 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 10, 2019 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdicti |
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| November 22, 2019 |
ADVANCED ENERGY INDUSTRIES, INC. UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION EX-99.3 5 ex-99d3.htm EX-99.3 Exhibit 99.3 ADVANCED ENERGY INDUSTRIES, INC. UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION On May 14, 2019, Advanced Energy Industries, Inc. (the “Company”, “Advanced Energy”, “we” or “our”) entered into a Stock Purchase Agreement (the “Acquisition Agreement”), as amended by the First Amendment to the Purchase Agreement, dated September 9, 2019, with A |
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| November 22, 2019 |
Exhibit 99.2 ARTESYN EMBEDDED TECHNOLOGIES, INC. AND SUBSIDIARIES CONDENSED CONSOLIDATED FINANCIAL STATEMENTS As of June 30, 2019 and for the three and six months ended June 30, 2019 and 2018 ARTESYN EMBEDDED TECHNOLOGIES, INC. AND SUBSIDIARIES CONDENSED CONSOLIDATED FINANCIAL STATEMENTS (Unaudited) As of June 30, 2019 and for the three and six months ended June 30, 2019 and 2018 INDEX Condensed C |
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| November 22, 2019 |
Exhibit 99.1 ARTESYN EMBEDDED TECHNOLOGIES, INC. AND SUBSIDIARIES CONSOLIDATED FINANCIAL STATEMENTS As of December 31, 2018 and 2017 and for the years ended December 31, 2018, 2017 and 2016 ARTESYN EMBEDDED TECHNOLOGIES, INC. AND SUBSIDIARIES CONSOLIDATED FINANCIAL STATEMENTS As of December 31, 2018 and 2017 and for the years ended December 31, 2018, 2017 and 2016 INDEX Report of Independent Audit |
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| November 12, 2019 |
Advanced Energy Announces Third Quarter 2019 Results EX-99.1 2 ex-99d1.htm EX-99.1 Exhibit 99.1 Financial News Release Advanced Energy Announces Third Quarter 2019 Results · Closed the acquisition of Artesyn Embedded Power on September 10 · Q3 total revenue was $175.1 million; organic revenue was $134.2 million, above the guidance range of $123 to $133 million · Q3 GAAP EPS from continuing operations was $0.19 · Q3 Non-GAAP EPS was $0.54; before acq |
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| November 12, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2019 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) |
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| November 12, 2019 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission file number: 000-26 |
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| October 29, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 25, 2019 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) ( |
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| September 10, 2019 |
Exhibit 99.1 FOR IMMEDIATE RELEASE ADVANCED ENERGY COMPLETES THE ACQUISITION OF ARTESYN EMBEDDED POWER Embarks on a new chapter as a highly diversified premier power conversion company with global presence and scale across critical technologies and markets FORT COLLINS, Colo., Sept. 10, 2019 – Advanced Energy Industries, Inc. (Nasdaq: AEIS), a global leader in highly engineered, precision power co |
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| September 10, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 10, 2019 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) |
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| September 10, 2019 |
Exhibit 10.1 Published CUSIP Number: 00790HAA4 Revolving Loan CUSIP Number: 00790HAB2 Term Loan CUSIP Number: 00790HAC0 CREDIT AGREEMENT Dated as of September 10, 2019 among ADVANCED ENERGY INDUSTRIES, INC., as the Borrower, CERTAIN SUBSIDIARIES OF THE BORROWER PARTY HERETO, as the Guarantors, BANK OF AMERICA, N.A., as the Administrative Agent, BANK OF AMERICA, N.A., BANK OF THE WEST and HSBC BANK |
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| September 10, 2019 |
Exhibit 2.2 FIRST AMENDMENT TO STOCK PURCHASE AGREEMENT This FIRST AMENDMENT TO STOCK PURCHASE AGREEMENT, dated as of September 9, 2019 (this “Amendment”), is entered into by and among ARTESYN EMBEDDED TECHNOLOGIES, INC., a Florida corporation (the “Company”), PONTUS INTERMEDIATE HOLDINGS II, LLC, a Delaware limited liability company (“Seller”), PONTUS HOLDINGS, LLC, a Delaware limited liability c |
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| August 5, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8‑K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2019 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000‑26966 84‑0846841 (State or other jurisdiction of incorporation) (Co |
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| August 5, 2019 |
Advanced Energy Announces Second Quarter 2019 Results Exhibit 99.1 Financial News Release Advanced Energy Announces Second Quarter 2019 Results · Q2 Revenue was $134.8 million · Q2 GAAP EPS from continuing operations was $0.61 · Q2 Non-GAAP EPS was $0.45 FORT COLLINS, Colo., August 5, 2019 - Advanced Energy Industries, Inc. (Nasdaq: AEIS), today announced financial results for the second quarter ended June 30, 2019. “Our strong operating performance |
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| August 5, 2019 |
Amended and Restated Certificate of Incorporation of Advanced Energy Industries, Inc. Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ADVANCED ENERGY INDUSTRIES, INC. Advanced Energy Industries, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the state of Delaware (the “Corporation”), DOES HEREBY CERTIFY: 1. The name of the Corporation is Advanced Energy Industries, Inc. The date of filing of the Corporation’s origin |
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| August 5, 2019 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended June 30, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission file number: 000-26966 A |
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| June 4, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 4, 2019 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Comm |
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| May 31, 2019 |
AEIS / Advanced Energy Industries, Inc. SD - - SD CONFLICT MINERALS FILING 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.) 1625 Sharp Point Drive, Fort Collins, Colorado 80525 (Address of p |
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| May 31, 2019 |
EXHIBIT 1.01 Conflict Minerals Report of Advanced Energy Industries, Inc. Introduction This Conflict Minerals Report of Advanced Energy Industries, Inc. (together with its consolidated subsidiaries, the “Company,” “we,” “our” and “us”) for the reporting year January 1, 2018 to December 31, 2018 was prepared in accordance with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (“Rule |
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| May 15, 2019 |
ADVANCED ENERGY TO ACQUIRE ARTESYN EMBEDDED POWER EX-99.1 3 exhibit991-pressreleasedat.htm EXHIBIT 99.1 Financial News Release ADVANCED ENERGY TO ACQUIRE ARTESYN EMBEDDED POWER • Creates a $1.3 billion premier power conversion company with global presence and scale across critical technologies and markets. • Expands AE’s addressable market by 3x through the addition of new growth verticals. • Targets annualized synergies of over $20 million in 18 |
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| May 15, 2019 | ||
| May 15, 2019 |
CONFORMED COPY STOCK PURCHASE AGREEMENT by and among ARTESYN EMBEDDED TECHNOLOGIES, INC. |
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| May 15, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2019 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Comm |
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| May 7, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2019 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Commi |
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| May 6, 2019 |
Advanced Energy Announces First Quarter 2019 Results EX-99.1 2 exhibit991q12019pressrelea.htm EXHIBIT 99.1 Q1 2019 EARNINGS RELEASE Financial News Release Advanced Energy Announces First Quarter 2019 Results •Q1 Revenue was $140.7 million •Q1 GAAP EPS from continuing operations was $0.40 •Q1 Non-GAAP EPS was $0.58 FORT COLLINS, Colo., May 6, 2019 - Advanced Energy Industries, Inc. (Nasdaq: AEIS), today announced financial results for the first quart |
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| May 6, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2019 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation) (Commi |
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| May 6, 2019 |
Quarterly Report - 10-Q AEIS Q1 2019 Table Of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended March 31, 2019 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to . Commission file number: 000-2696 |
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| May 6, 2019 |
Second Amended and Restated By-Laws of Advanced Energy Industries, Inc. EXHIBIT 3.1 AMENDED AND RESTATED BY-LAWS OF ADVANCED ENERGY INDUSTRIES, INC. (A DELAWARE CORPORATION) (UPDATED THROUGH THE FIFTH AMENDMENT) By-Laws OF ADVANCED ENERGY INDUSTRIES, INC. (A DELAWARE CORPORATION) ARTICLE I OFFICES Section 1. Registered Office. The registered office of the corporation in the State of Delaware shall be in the City of Wilmington, County of New Castle. Section 2. Other Of |
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| April 16, 2019 |
AEIS / Advanced Energy Industries, Inc. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 16, 2019 |
AEIS / Advanced Energy Industries, Inc. DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Defin |
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| April 4, 2019 |
AEIS / Advanced Energy Industries, Inc. PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
