ADVANCED ENERGY INDUSTRIES INC
For the period ended Sep 30, 2025. Filed Nov 4, 2025.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2025 · Filed Nov 4, 2025
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Item 5. OTHER INFORMATION
Rule 10b5-1 Trading Arrangements
During the three months ended September 30, 2025, except as described below, none of our directors or Section 16 officers adopted or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement” (as each term is defined in Item 408 of Regulation S-K). The following table summarizes the terms of the Rule 10b5-1 trading arrangements adopted:
| Name and Title | Date of Adoption | Duration of the Trading Arrangement (1) | Aggregate Number of Shares to be Sold |
|---|---|---|---|
| Bernard ColpittsSenior Vice President and Chief Accounting Officer | August 19, 2025 | Until May 1, 2026 or such earlier date upon which all transactions are completed | 5,089 (2) |
| Paul OldhamExecutive Vice President and Chief Financial Officer | August 20, 2025 | Until August 20, 2026 or such earlier date upon which all transactions are completed | 16,570 (3) |
| Tina DonikowskiDirector | September 4, 2025 | Until September 4, 2026 or such earlier date upon which all transactions are completed | 2,257 |
(1) The Rule 10b5-1 trading arrangements also provide for termination prior to the above-listed expiration date following the occurrence of certain events, such as public announcement of a tender offer, exchange offer, or certain merger and acquisition, reorganization, or recapitalization transactions or the bankruptcy, insolvency, or death of the adopting person.
(2) The aggregate number of shares available for sale under Mr. Colpitts’ Rule 10b5-1 trading arrangement is not yet determinable because the shares available will be net of tax withholding obligations that arise in connection with the vesting and settlement of such RSU awards. As such, the shares included in this table reflect the aggregate maximum number of shares underlying Mr. Colpitts’ RSUs without excluding the shares that will be withheld to satisfy tax withholding obligations.
(3) Includes 6,042 shares of common stock issuable upon the exercise of options.
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