AEIS / Advanced Energy Industries, Inc. - SEC-arkivering, Årsberetning, Fuldmagtserklæring

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)

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

Exchange Agreement

  Exhibit 10.2   Exchange Agreement   May , 2026   Advanced Energy Industries, Inc.   2.50% Convertible Senior Notes due 2028   The entity listed under “UNDERSIGNED” on the signature page hereto (the “Undersigned” or the “Investor”), for itself and on behalf of the beneficial owners listed on Exhibit A hereto (“Accounts”) for whom the Undersigned holds contractual and investment authority (each, i

[Signature Pages Follow]

Exhibit 10.1 [DEALER]1 [], 2026 To: Advanced Energy Industries, Inc. 1595 Wynkoop Street Suite 800 Denver, Colorado 80202 Attention: [] Telephone No.: [] Email: [] Re: [Base][Additional] Call Option Transaction The purpose of this letter agreement (this “Confirmation”) is to confirm the terms and conditions of the call option transaction entered into between [DEALER] (“Dealer”) and Advanced Energy

CALL OPTION TERMINATION AGREEMENT dated as of [__], 2026

  Exhibit 10.3   CALL OPTION TERMINATION AGREEMENT dated as of [], 2026 Between ADVANCED ENERGY INDUSTRIES, INC. and [BANK OF AMERICA, N.A.][BANK OF MONTREAL (WITH BMO CAPITAL MARKETS CORP. ACTING AS AGENT)][BNP PARIBAS][CITIBANK, N.A.][WELLS FARGO BANK, NATIONAL ASSOCIATION]   THIS CALL OPTION TERMINATION AGREEMENT (this “Agreement”) with respect to the Call Option Confirmations (as defined below

WARRANT TERMINATION AGREEMENT dated as of [__], 2026

  Exhibit 10.4   WARRANT TERMINATION AGREEMENT dated as of [], 2026 Between ADVANCED ENERGY INDUSTRIES, INC. and [BANK OF AMERICA, N.A.][BANK OF MONTREAL (WITH BMO CAPITAL MARKETS CORP. ACTING AS AGENT)][BNP PARIBAS][CITIBANK, N.A.][WELLS FARGO BANK, NATIONAL ASSOCIATION]   THIS WARRANT TERMINATION AGREEMENT (this “Agreement”) with respect to the Warrants Confirmations (as defined below) is made a

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 13, 2026 Advanced Energy Indu

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 13, 2026 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

TABLE OF CONTENTS

Exhibit 4.1 ADVANCED ENERGY INDUSTRIES, INC. AND U.S. Bank Trust Company, National Association, as Trustee INDENTURE Dated as of May 18, 2026 0% Convertible Senior Notes due 2031 TABLE OF CONTENTS Page Article 1 Definitions Section 1.01. Definitions 1 Section 1.02. References to Interest 14 Article 2 Issue, Description, Execution, Registration and Exchange of Notes Section 2.01. Designation and Am

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 13, 2026 Advanced Energy Indu

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 13, 2026 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

ADVANCED ENERGY ANNOUNCES PRICING OF $1 BILLION 0% CONVERTIBLE SENIOR NOTES

Exhibit 99.1 ADVANCED ENERGY ANNOUNCES PRICING OF $1 BILLION 0% CONVERTIBLE SENIOR NOTES DENVER, Colo., May 13, 2026 — Advanced Energy Industries, Inc. (“Advanced Energy”) (Nasdaq: AEIS), a global leader in highly engineered, precision power conversion, measurement, and control solutions, announced today the pricing of its private offering of $1.0 billion aggregate principal amount of 0% Convertib

ADVANCED ENERGY ANNOUNCES PROPOSED OFFERING OF $1 BILLION CONVERTIBLE SENIOR NOTES

ADVANCED ENERGY ANNOUNCES PROPOSED OFFERING OF $1 BILLION CONVERTIBLE SENIOR NOTES DENVER, Colo.

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 13, 2026 Advanced Energy Indu

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 13, 2026 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

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 7, 2026 Advanced Energy Indus

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 7, 2026 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

As filed with the Securities and Exchange Commission on May 8, 2026 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

File No. 333- As filed with the Securities and Exchange Commission on May 8, 2026 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

Table 1: Newly Registered Securities

Calculation of Filing Fee Tables S-8 ADVANCED ENERGY INDUSTRIES INC Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee 1 Equity Common Stock, $0.

CERTIFICATE OF AMENDMENT AMENDED AND RESTATED CERTIFICATE OF INCORPORATION ADVANCED ENERGY INDUSTRIES, INC.

Exhibit 3.1 CERTIFICATE OF AMENDMENT OF 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. 2. The Amended and

ADVANCED ENERGY INDUSTRIES, INC. Second Amended and Restated 2023 Omnibus Incentive Plan (as amended and restated November 2, 2023 and May 7, 2026)

Exhibit 10.1 2026 ANNUAL PROXY STATEMENT APPENDIX C – PROPOSED SECOND AMENDED AND RESTATED 2023 OMNIBUS INCENTIVE PLAN ADVANCED ENERGY INDUSTRIES, INC. Second Amended and Restated 2023 Omnibus Incentive Plan (as amended and restated November 2, 2023 and May 7, 2026) 1.   Purpose; Effective Date; Effect on Prior Plan. (a) Purpose. The Advanced Energy Industries, Inc. Second Amended and Restated 202

As filed with the Securities and Exchange Commission on May 8, 2026 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

File No. 333- As filed with the Securities and Exchange Commission on May 8, 2026 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

Table 1: Newly Registered Securities

Calculation of Filing Fee Tables S-8 ADVANCED ENERGY INDUSTRIES INC Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee 1 Equity Common Stock, $0.

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, 2026 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

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, 2026 Advanced Energy Indus

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, 2026 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

Advanced Energy Reports First Quarter 2026 Results

Exhibit 99.1 Financial News Release Advanced Energy Reports First Quarter 2026 Results ● Revenue was $511 million, up 26% year-over-year and above the midpoint of guidance ● Data Center Computing revenue more than doubled year-over-year ● GAAP gross margin was 39.3%; non-GAAP gross margin was 40.1% ● GAAP EPS from continuing operations was $1.59; non-GAAP EPS was $2.09, above the midpoint of guida

ARS

A Message from Our CEO Dear Stockholders: 2025 was a highly successful year for Advanced Energy.

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. )

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

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. )

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

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. )

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

SUBSIDIARIES OF THE REGISTRANT

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

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, 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 ADVANCE

INDEMNIFICATION AGREEMENT

EXHIBIT 10.1 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 corporations as directors, officers, or in other capacities unless they are provided with adequate

ADVANCED ENERGY INDUSTRIES, INC. 2017 OMNIBUS INCENTIVE PLAN INCENTIVE STOCK OPTION AGREEMENT

EXHIBIT 10.11 ADVANCED ENERGY INDUSTRIES, INC. 2017 OMNIBUS INCENTIVE PLAN INCENTIVE STOCK OPTION AGREEMENT Advanced Energy Industries, a Delaware corporation (the “Company”), hereby grants an option to purchase shares of its common stock, $0.001 par value, (the “Stock”) to the optionee named below. Additional terms and conditions of the grant are set forth in this Agreement, the Notice of Option

Advanced Energy Reports Fourth Quarter and Full Year 2025 Results

Exhibit 99.1 Financial News Release Advanced Energy Reports Fourth Quarter and Full Year 2025 Results ● Q4 revenue was $489 million, at the high end of guidance ● Q4 GAAP EPS from continuing operations was $1.31; non-GAAP EPS was $1.94, both towards the high end of guidance ● 2025 revenue grew 21% to $1.80 billion ● Data Center Computing revenue grew 107% to a record level ● 2025 GAAP EPS from con

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, 2026 Advanced Energy

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, 2026 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) Delaware 000-26966 84-0846841 (State or other jurisdiction of incorporation)

Advanced Energy Reports Third Quarter 2025 Results

Exhibit 99.1 Financial News Release Advanced Energy Reports Third Quarter 2025 Results ● Revenue was $463 million, above the high end of guidance ● Data Center Computing revenue grew 113% year-over-year and 21% sequentially ● GAAP EPS from continuing operations was $1.21 and non-GAAP EPS was $1.74, both above the high end of guidance ● Cash flow from continuing operations grew 123% year-over-year

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 4, 2025 Advanced Energy

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 4, 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) (

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, 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: 000-2696

144

144 0001770310 XXXXXXXX LIVE 0000927003 ADVANCED ENERGY INDUSTRIES INC 000-26966 ATTN: PAUL OLDHAM 1595 WYNKOOP ST, SUITE 800 DENVER CO 80202 9704076626 DelSanto Anne Director Common Fidelity Brokerage Services LLC 245 Summer Street Boston MA 02110 240 37740.

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

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

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 In

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

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)

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

Credit Agreement, dated as of May 8, 2025, among Advanced Energy Industries, Inc., as the borrower, the guarantors party thereto, HSBC Bank USA, N.A., as the administrative agent, and the lenders party thereto.

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

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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

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

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

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

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

ARS

Annual Report 2024 A Message from Our CEO Dear Stockholders: In 2024, we delivered solid financial results in a dynamic environment.

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. )

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

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. )

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

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

Insider Trading Policy

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

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

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

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

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

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)

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

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) (

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

Amendment No. 4 to Credit Agreement by and among Advanced Energy Industries, Inc., the guarantors party thereto, Bank of America, NA as the administrative agent, and the lenders party thereto

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

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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)

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

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

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

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

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

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)

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

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

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 Indu

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

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

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

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

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

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Financial Statements and Exhibits, 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 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

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

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. )

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

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. )

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

ARS

Annual Report 2023A A Message from our CEO Dear Stockholders: We delivered solid financial results in 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. )

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

Compensation Clawback Policy

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

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

Form of Annual Incentive Plan

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

Insider Trading Policy

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

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

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

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

to Schedule 13G

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.

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

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

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

AEIS / Advanced Energy Industries, Inc. / FMR LLC Passive Investment

SC 13G/A 1 filing.txt SCHEDULE 13G Amendment No.2 ADVANCED ENERGY INDUSTRIES INC COMMON STOCK Cusip #007973100 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [x] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) Cusip #007973100 Item 1: Reporting Person - FMR LLC Item 2: (a) [ ] (b) [ ] Item 4: Delaware Item 5: 4,145,196 Item 6: 0 Item 7: 4,146,831 Item 8

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

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) (

AEIS / Advanced Energy Industries, Inc. / BlackRock Inc. Passive Investment

SC 13G/A 1 us0079731008012224.txt us0079731008012224.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 2) ADVANCED ENERGY INDUSTRIES INC - (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 app

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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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): 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) (

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

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),

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) (

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

Amendment No. 3 to Credit Agreement, dated as of September 7, 2023, among Advanced Energy Industries, Inc., the guarantors party thereto, Bank of America, N.A., as Administrative Agent, and the Lenders party thereto

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

Indenture, dated September 12, 2023, between Advanced Energy Industries, Inc. and U.S. Bank Trust Company, National Association, as trustee

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

ADVANCED ENERGY ANNOUNCES CLOSING OF OFFERING OF $575 MILLION OF 2.50% CONVERTIBLE SENIOR NOTES WITH INITIAL PURCHASERS’ OPTION FULLY EXERCISED

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

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

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, 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 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)

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

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

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)

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)

ADVANCED ENERGY ANNOUNCES PROPOSED OFFERING OF $500 MILLION CONVERTIBLE SENIOR NOTES

ADVANCED ENERGY ANNOUNCES PROPOSED OFFERING OF $500 MILLION CONVERTIBLE SENIOR NOTES DENVER, Colo.

AEIS / Advanced Energy Industries Inc. / FMR LLC Passive Investment

U.S. Securities and Exchange Commission You’ve Exceeded the SEC’s Traffic Limit Your request rate has exceeded the SEC’s maximum allowable requests per second. Your access to SEC.gov will be limited for 10 minutes. Current guidelines limit each user to a total of no more than 10 requests per second, regardless of the number of machines used to submit requests. To ensure that SEC.gov remains

Advanced Energy Amended and Restated Deferred Compensation Plan Amended and Restated Effective as of August 1, 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

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.

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

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

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)

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

Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD for the year ended December 31, 2022.

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

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

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 ____________

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

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

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

Filing Fee Table.

Exhibit 107 Calculation of Filing Fee Table FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ADVANCED ENERGY INDUSTRIES, INC.

Amendment No. 2 to Credit Agreement, dated March 31, 2023, among Advanced Energy Industries, Inc., the guarantors party thereto, Bank of America N.A., as Administrative Agent, and the Lenders party thereto

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

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

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 In

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

ARS

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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. )

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

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. )

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

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

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

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.

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

Form of Indenture.

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

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

Filing Fee Exhibit.

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Advanced Energy Industries, Inc.

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

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

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

to Schedule 13G

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.

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

AEIS / Advanced Energy Industries, Inc. / FMR LLC Passive Investment

SC 13G 1 filing.txt SCHEDULE 13G Amendment No.0 ADVANCED ENERGY INDUSTRIES INC COMMON STOCK Cusip #007973100 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [x] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) Cusip #007973100 Item 1: Reporting Person - FMR LLC Item 2: (a) [ ] (b) [ ] Item 4: Delaware Item 5: 2,079,597 Item 6: 0 Item 7: 2,080,795 Item 8:

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) (

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

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

AEIS / Advanced Energy Industries, Inc. / BlackRock Inc. Passive Investment

SC 13G/A 1 us0079731008012623.txt us0079731008012623.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 1) ADVANCED ENERGY INDUSTRIES INC - (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 app

AEIS / Advanced Energy Industries, Inc. / BlackRock Inc. Passive Investment

LETTER

United States securities and exchange commission logo January 4, 2023 Paul Oldham Chief Financial Officer Advanced Energy Industries, Inc.

* * *

‌ 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

LETTER

United States securities and exchange commission logo December 16, 2022 Paul Oldham Chief Financial Officer Advanced Energy Industries, Inc.

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

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

? ? 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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

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

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

####

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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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): 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

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)

? ? ? 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

Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD for the year ended December 31, 2021

? 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

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)

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

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)

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

1

? ? 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

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

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 completi

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

1

? ? 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

Regulation FD Disclosure, Entry into a Material Definitive Agreement, 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): 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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

? ? 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

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. )

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

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. )

? 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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

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

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

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.

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

to Schedule 13G

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.

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

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

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

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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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, 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

AEIS / Advanced Energy Industries, Inc. / BlackRock Inc. Passive Investment

us0079731008012722.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 15) ADVANCED ENERGY INDUSTRIES INC - (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 rul

AEIS / Advanced Energy Industries, Inc. / BlackRock Inc. Passive Investment

us0079731008012522.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 14) ADVANCED ENERGY INDUSTRIES INC - (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 rul

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

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

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

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

Amendment No. 1 to Credit Agreement, dated September 9, 2021, by and among Advanced Energy Industries, Inc., the guarantors party thereto, Bank of America N.A. as the Administrative Agent, and the lenders party thereto (which included the marked Credit Agreement as Exhibit A thereto)

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

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

? ? 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

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

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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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, 2021 Advanced Energy Industries, Inc. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? Delaware 000-26966 84-0846841 (State or other jurisdiction of

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 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

Advanced Energy Announces Second Quarter 2021 Results and $200 million Share Repurchase Authorization

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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): 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) ?

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)

? ? ? 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,

Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD for the year ended December 31, 2020.

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

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

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)

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

- DEF 14A

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

- DEFA14A

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

Amendment dated January 11, 2021 to the Schedule to the ISDA 2002 Master Agreement dated April 2, 2020 between HSBC Bank USA, National Association and Advanced Energy Industries, Inc.

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

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

Annual Report - 10-K

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

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) (CUSIP Number) December 31, 2020

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

to Schedule 13G

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.

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

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)

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

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 10)*

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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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 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) (

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

Advanced Energy Announces Retirement of President & CEO Yuval Wasserman and Appoints Stephen D. Kelley as Successor

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

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

SC 13G/A

SCHEDULE 13G Amendment No. 2 ADVANCED ENERGY INDUSTRIES INC COMMON STOCK Cusip #007973100 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [x] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) Cusip #007973100 Item 1: Reporting Person - FMR LLC Item 2: (a) [ ] (b) [ ] Item 4: Delaware Item 5: 379,672 Item 6: 0 Item 7: 1,849,599 Item 8: 0 Item 9: 1,849,599 I

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) (

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.

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) (CUSIP Number) D

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

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) (CUSIP Number) D

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

SC 13G/A

us0079731008012621.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 13) ADVANCED ENERGY INDUSTRIES INC - (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 rul

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) (

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

Quarterly Report - 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, 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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events - 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): 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) (

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

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events - 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): 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

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.

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

Quarterly Report - 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, 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

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

Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD for the year ended December 31, 2019.

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

- SD

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

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

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

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, 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): 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

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

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

Quarterly Report - 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, 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

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

ISDA 2002 Master Agreement, by and between Advanced Energy Industries, Inc. and Citibank, N.A., dated April 7, 2020 (the “Citibank ISDA Master Agreement”)

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

Rate Swap Transaction Confirmation, by and between Advanced Energy Industries, Inc. and HSBC Bank USA, National Association, dated April 7, 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