ADVANCED ENERGY INDUSTRIES INC
For the period ended Dec 31, 2024. Filed Feb 18, 2025.
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FY2024 · Filed Feb 18, 2025
AEIS$221.69+1.1%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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ITEM 15. EXHIBIT AND FINANCIAL STATEMENT SCHEDULES
| 1. | Financial Statements: |
See Index to Financial Statements at Part II, Item 8 herein.
| 2. | Financial Statement Schedules for the years ended December 31, 2024, 2023, and 2022 |
NOTE: All schedules have been omitted because they are either not applicable or the required information is included in the financial statements and notes thereto.
| (B) | Exhibits: |
| Exhibit · · · · Incorporated by Reference | ||||||||||
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| Number · Description · Form · File No. · Exhibit · Filing Date | ||||||||||
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| 2.1 | | Stock Purchase Agreement by and among Advanced Energy Industries, Inc., Artesyn Embedded Technologies, Inc., Pontus Intermediate Holdings II, LLC and Pontus Holdings, LLC, dated May 14, 2019 ** | | 8-K | | 000-26966 | | 2.1 | | May 15, 2019 |
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| 2.2 | | First Amendment to the Stock Purchase Agreement by and among Advanced Energy Industries, Inc., Artesyn Embedded Technologies, Inc., Pontus Intermediate Holdings II, LLC and Pontus Holdings, LLC, dated September 9, 2019 ** | | 8-K | | 000-26966 | | 2.2 | | September 10, 2019 |
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| 2.3 | | Stock Purchase Agreement, dated April 1, 2022,by and among SL Power Electronics Corporation,SL Delaware Holdings, Inc., Steel PartnersHoldings L.P., AEI US Subsidiary, LLC andAdvanced Energy Industries, Inc. ** | | 8-K | | 000-26966 | | 2.1 | | April 4, 2022 |
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| 3.1 | | Amended and Restated Certificate of Incorporation of Advanced Energy Industries, Inc. | | 8-K | | 000-26966 | | 3.1 | | May 1, 2024 |
| Exhibit · · · · Incorporated by Reference | ||||||||||
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| Number · Description · Form · File No. · Exhibit · Filing Date | ||||||||||
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| 3.2 | | Third Amended and Restated By-Laws of Advanced Energy Industries, Inc. | | 8-K | | 000-26966 | | 3.2 | | May 1, 2024 |
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| 4.1 | | Form of Specimen Certificate for Common Stock | | S-1 | | 33-97188 | | 4.1 | | September 21, 1995 |
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| 4.2 | | Description of Advanced Energy Industries, Inc. Securities | | | | | | | | Filed herewith |
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| 4.3 | | Indenture, dated September 12, 2023, between Advanced Energy Industries, Inc. and U.S. Bank Trust Company, National Association, as trustee | | 8-K | | 000-26966 | | 4.1 | | September 13, 2023 |
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| 4.4 | | Form of Global 2.50% Convertible Senior Note due 2028 (included in Exhibit 4.3) | | 8-K | | 000-26966 | | 4.2 | | September 13, 2023 |
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| 10.1 | | Lease, dated January 16, 2003, by and between China Great Wall Computer Shenzhen Co., Ltd., Great Wall Limited and Advanced Energy Industries (Shenzhen) Co., Ltd., for a building located in Shenzhen, China | | 10-K | | 000-26966 | | 10.18 | | February 24, 2004 |
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| 10.2 | | Form of Director and Officer Indemnification Agreement | | 10-K | | 000-26966 | | 10.2 | | February 17, 2023 |
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| 10.3 | | 2017 Omnibus Incentive Plan * | | DEF 14A | | 000-26966 | | Appendix A | | March 14, 2017 |
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| 10.4 | | Employee Stock Purchase Plan * | | DEF 14A | | 000-26966 | | Appendix B | | March 10, 2021 |
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| 10.5 | | Offer Letter dated February 8, 2021 * | | 8-K | | 000-26966 | | 10.2 | | February 10, 2021 |
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| 10.6 | | Global Supply Agreement by and between Advanced Energy Industries, Inc. and Applied Materials, Inc., dated August 29, 2005 + | | 10-Q | | 000-26966 | | 10.1 | | November 7, 2005 |
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| 10.7 | | Shipping Amendment to the Global Supply Agreement by and between Advanced Energy Industries, Inc. and Applied Materials, Inc., dated August 29, 2005 + | | 10-Q | | 000-26966 | | 10.2 | | November 7, 2005 |
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| 10.8 | | Bridge Amendment to the Global Supply Agreement by and between Advanced Energy Industries, Inc. and Applied Materials, Inc., dated January 28, 2011 + | | 10-Q | | 000-26966 | | 10.1 | | May 6, 2011 |
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| 10.9 | | Offer Letter to Paul Oldham, dated March 26, 2018 * | | 8-K | | 000-26966 | | 10.1 | | March 29, 2018 |
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| Exhibit · · · · Incorporated by Reference | ||||||||||
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| Number · Description · Form · File No. · Exhibit · Filing Date | ||||||||||
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| 10.10 | | Credit Agreement, dated September 10, 2019, by and among Advanced Energy Industries, Inc., Bank of America N.A. as the Administrative Agent, Bank of America N.A., Bank of the West and HSBC Bank USA, N.A. as the Joint Lead Arrangers and Joint Book Runners, and Citibank N.A., as the Co-Manager | | 8-K | | 000-26966 | | 10.1 | | September 10, 2019 |
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| 10.11 | | 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) | | 8-K | | 000-26966 | | 10.2 | | September 9, 2021 |
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| 10.12 | | Offer of Employment to Eduardo Bernal Acebedo, dated August 2, 2021 * | | 8-K | | 000-26966 | | 10.1 | | September 8, 2021 |
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| 10.13 | | Form of Long-Term Incentive Plan * | | 8-K | | 000-26966 | | 10.1 | | February 4, 2021 |
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| 10.14 | | Amended and Restated Deferred Compensation Plan * | | 10-Q | | 000-26966 | | 10.1 | | November 1, 2022 |
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| 10.15 | | Form of Restricted Stock Unit Agreement under 2017 Omnibus Incentive Plan * | | 10-K | | 000-26966 | | 10.25 | | February 17, 2023 |
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| 10.16 | | Form of LTI Performance Stock Unit Agreement under 2017 Omnibus Incentive Plan * | | 10-K | | 000-26966 | | 10.26 | | February 17, 2023 |
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| 10.17 | | 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 | | 10-Q | | 000-26966 | | 10.1 | | May 3, 2023 |
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| 10.18 | | Form of Confirmation for Convertible Note Hedges*** | | 8-K | | 000-26966 | | 10.1 | | September 13, 2023 |
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| 10.19 | | Form of Confirmation for Warrants*** | | 8-K | | 000-26966 | | 10.2 | | September 13, 2023 |
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| 10.20 | | Amendment No. 3 to Credit Agreement, dated 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 | | 8-K | | 000-26966 | | 10.3 | | September 13, 2023 |
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| 10.21 | | Amended and Restated 2023 Omnibus Incentive Plan * | | 8-K | | 000-26966 | | 10.1 | | November 8, 2023 |
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| 10.22 | | Form of Executive Change in Control and General Severance Agreement * | | 8-K | | 000-26966 | | 10.2 | | November 8, 2023 |
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| 10.23 | | Form of Performance Stock Unit Agreement under the Amended and Restated 2023 Omnibus Incentive Plan * | | 10-K | | 000-26966 | | 10.32 | | February 20, 2024 |
| Exhibit · · · · Incorporated by Reference | ||||||||||
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| Number · Description · Form · File No. · Exhibit · Filing Date | ||||||||||
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| 10.24 | | Form of Restricted Stock Unit Agreement under the Amended and Restated 2023 Omnibus Incentive Plan * | | | | | | | | Filed herewith |
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| 10.25 | | Form of Annual Incentive Plan * | | 10-K | | 000-26966 | | 10.34 | | February 20, 2024 |
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| 10.26 | | Amendment No. 4 to Credit Agreement, dated September 9, 2024, among Advanced Energy Industries, Inc., the guarantors party thereto, Bank of America, N.A., as Administrative Agent, and the Lenders party thereto | | 8-K | | 000-26966 | | 10.1 | | September 11, 2024 |
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| 19.1 | | Insider Trading Policy | | | | | | | | Filed herewith |
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| 21.1 | | Subsidiaries of Advanced Energy Industries, Inc. | | | | | | | | Filed herewith |
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| 23.1 | | Consent of Independent Registered Public Accounting Firm | | | | | | | | Filed herewith |
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| 31.1 | | Certification of the Chief Executive Officer Pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | | | | | | | | Filed herewith |
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| 31.2 | | Certification of the Principal Financial Officer Pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | | | | | | | | Filed herewith |
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| 32.1 | | Certification of the Chief Executive Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | | | | | | | | Filed herewith |
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| 32.2 | | Certification of the Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | | | | | | | | Filed herewith |
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| 97.1 | | Compensation Clawback Policy | | 10-K | | 000-26966 | | 97.1 | | February 20, 2024 |
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| 101.INS | | Inline XBRL Instance Document | | | | | | | | Filed herewith |
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| 101.SCH | | Inline XBRL Taxonomy Extension Schema Document | | | | | | | | Filed herewith |
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| 101.CAL | | Inline XBRL Taxonomy Extension Calculation Linkbase Document | | | | | | | | Filed herewith |
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| 101.DEF | | Inline XBRL Taxonomy Extension Definition Linkbase Document | | | | | | | | Filed herewith |
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| 101.LAB | | Inline XBRL Taxonomy Extension Label Linkbase Document | | | | | | | | Filed herewith |
| Exhibit | | | | Incorporated by Reference | ||||||
| Number | Description | Form | File No. | Exhibit | Filing Date | |||||
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| 101.PRE | | Inline XBRL Taxonomy Extension Presentation Linkbase Document | | | | | | | | Filed herewith |
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| 104 | | Cover Page Interactive Data File (formatted as Inline XBRL with applicable taxonomy extension information contained in Exhibits 101) | | | | | | | | Filed herewith |
- Management contract or compensatory plan.
** Schedules have been omitted pursuant to Item 601(b)(2) of Regulation S-K.
*** Certain personally identifiable information has been omitted from this exhibit pursuant to Item 601(a)(6) of Regulation S-K.
- Confidential treatment has been granted for portions of this agreement.
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