ADVANCED ENERGY INDUSTRIES INC
For the period ended Jun 30, 2026. Filed Aug 3, 2026.
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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.
Jun 30, 2026 · Filed Aug 3, 2026
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Item 5. OTHER INFORMATION
Rule 10b5-1 Trading Arrangements
During the three months ended June 30, 2026, except as described below, none of our directors or Section 16 officers adopted orterminated 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 |
|---|---|---|---|
| Ron FosterDirector | May 29, 2026 | Until July 30, 2027 or such earlier date upon which all transactions are completed | Up to 3,300 |
| David ReedDirector | May 29, 2026 | Until July 30, 2027 or such earlier date upon which all transactions are completed | Up to 3,300 |
| Eduardo Bernal AcebedoExecutive Vice President and Chief Operating Officer | May 19, 2026 | Until September 25, 2026 or such earlier date upon which all transactions are completed | 24,771 (2) |
| Paul OldhamExecutive Vice President and Chief Financial Officer | June 12, 2026 | Until March 31, 2027 or such earlier date upon which all transactions are completed | 4,347 (3) |
| Elizabeth VonneExecutive Vice President, General Counsel and Corporate Secretary | May 19, 2026 | Until September 25, 2026 or such earlier date upon which all transactions are completed | Up to 2,447 |
(1) The Rule 10b5-1 trading arrangement also provides 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) Includes 6,042 shares of common stock issuable upon exercise of options.
(3) The aggregate number of shares available for sale under Mr. Oldham's Rule 10b5-1 trading arrangement is not yet determinable because the trading arrangement includes shares issuable pursuant to unvested PSUs for the performance period ended February 28, 2027, which are subject to tax withholding obligations that arise in connection with the vesting and settlement of such awards and the satisfaction of certain applicable performance goals. As such, the shares included in this table reflect the aggregate number of shares expressly specified in the trading arrangement and exclude shares that may become available for sale pursuant to such PSU award.
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