ADVANCED ENERGY INDUSTRIES INC
For the period ended Dec 31, 2024. Filed Feb 18, 2025.
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FY2024 · Filed Feb 18, 2025
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ITEM 9B. OTHER INFORMATION
During the fourth quarter of 2024, two of our officers adopted a “Rule 10b5-1 trading arrangement” (as defined in Item 408 of Regulation S-K) intended to satisfy the affirmative defense conditions of Rule 10b5-1(c), as amended. The table below summarizes the terms of 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 | ||||
| Paul OldhamExecutive Vice President and Chief Financial Officer | Nov. 27, 2024 | Until Nov. 27, 2025, or such earlier date upon which all transactions are completed | 12,084 | 2 |
| | | | | |
| Eduardo BernalExecutive Vice President and Chief Operations Officer | Dec. 2, 2024 | Until Nov. 5, 2025, or such earlier date upon which all transactions are completed | 28,606 | 2 |
| (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 M&A, reorganization, or recapitalization transactions or the bankruptcy, insolvency, or death of the adopting person. |
| (2) | Includes 12,084 shares of common stock issuable upon the exercise of options. |
During the fourth quarter of 2024, no other director or officer adopted or terminated a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading arrangement” (as defined in Item 408 of Regulation S-K).
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