<?xml version='1.0' encoding='UTF-8'?>

      <!-- iXBRL document created with: Toppan Merrill Bridge iXBRL 9.5.7293.39921 -->
      <!-- Based on: iXBRL 1.1 -->
      <!-- Created on: 4/10/2020 12:09:29 AM -->
      <!-- iXBRL Library version: 1.0.7293.39928 -->
      <!-- iXBRL Service Job ID: 30ec14b8-0689-429a-a568-a4806db6fedc -->

  <html xmlns:dei="http://xbrl.sec.gov/dei/2019-01-31" xmlns="http://www.w3.org/1999/xhtml" xmlns:aeis="http://www.aei.com/20191218" xmlns:link="http://www.xbrl.org/2003/linkbase" xmlns:xlink="http://www.w3.org/1999/xlink" xmlns:xbrldt="http://xbrl.org/2005/xbrldt" xmlns:xs="http://www.w3.org/2001/XMLSchema-instance" xmlns:ixt-sec="http://www.sec.gov/inlineXBRL/transformation/2015-08-31" xmlns:ixt="http://www.xbrl.org/inlineXBRL/transformation/2015-02-26" xmlns:ix="http://www.xbrl.org/2013/inlineXBRL" xmlns:ref="http://www.xbrl.org/2006/ref" xmlns:xbrli="http://www.xbrl.org/2003/instance"><head><meta http-equiv="content-type" content="text/html" /><title></title></head><body><div style="margin-top:30pt;"></div><div style="display:none;"><ix:header><ix:hidden><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:EntityCentralIndexKey" id="Tc_nmjfVGhi80iJYg5b3iqAZQ_2_1">0000927003</ix:nonNumeric><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:AmendmentFlag" id="Tc_DiXXubsYSUSimhiU0Voatg_3_1">false</ix:nonNumeric></ix:hidden><ix:references><link:schemaRef xlink:href="aeis-20191218.xsd" xlink:type="simple"></link:schemaRef></ix:references><ix:resources><xbrli:context id="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw"><xbrli:entity><xbrli:identifier scheme="http://www.sec.gov/CIK">0000927003</xbrli:identifier></xbrli:entity><xbrli:period><xbrli:startDate>2020-04-06</xbrli:startDate><xbrli:endDate>2020-04-06</xbrli:endDate></xbrli:period></xbrli:context></ix:resources></ix:header></div><div style="max-width:100%;padding-left:10.35%;padding-right:10.35%;position:relative;"><div style="clear:both;max-width:100%;position:relative;min-height:11.5pt;"><p style="font-family:'Times New Roman';font-size:10pt;padding-bottom:1pt;padding-top:1pt;text-align:center;border-bottom:1.0pt solid #000000;border-top:3.0pt solid #000000;margin:0pt;"><span style="font-size:1pt;font-weight:bold;margin-bottom:12pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:6pt;visibility:hidden;">&#8203;</span></p><a id="_6d89c15a_3b3e_47c7_bf60_bf70fd1b9053"></a><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><b style="font-size:14pt;font-weight:bold;">UNITED STATES</b></p><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><b style="font-size:14pt;font-weight:bold;">SECURITIES AND EXCHANGE COMMISSION</b></p><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><b style="font-size:12pt;font-weight:bold;">Washington, D.C. 20549</b></p><div style="font-family:'Times New Roman';font-size:10.0pt;margin-bottom:0pt;margin-top:0pt;min-height:1.19em;position:relative;width:100%;"><div style="background-color:#000000;height:1pt;position:relative;top:0.6em;width:25.0%;border:none;margin:0 auto;"></div></div><p style="font-family:'Times New Roman';font-size:18pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">FORM&#160;</b><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:DocumentType" id="Narr_Lgjt2MigO0qRAhTdSn4Hzg"><b style="font-weight:bold;">8-K</b></ix:nonNumeric></p><div style="font-family:'Times New Roman';font-size:10.0pt;margin-bottom:0pt;margin-top:0pt;min-height:1.19em;position:relative;width:100%;"><div style="background-color:#000000;height:1pt;position:relative;top:0.6em;width:25.0%;border:none;margin:0 auto;"></div></div><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><b style="font-size:12pt;font-weight:bold;">CURRENT REPORT</b></p><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt 0pt 6pt 0pt;"><b style="font-size:12pt;font-weight:bold;">Pursuant to Section&#160;13 OR 15(d)&#160;of The Securities Exchange Act of 1934</b></p><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><b style="font-weight:bold;white-space:pre-wrap;">Date of Report (Date of earliest event reported):  </b><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" format="ixt:datemonthdayyearen" name="dei:DocumentPeriodEndDate" id="Narr_fB0egCLTLUKgHAEnOYM3ZQ"><b style="font-weight:bold;">April 6, 2020</b></ix:nonNumeric></p><div style="font-family:'Times New Roman';font-size:10.0pt;margin-bottom:0pt;margin-top:0pt;min-height:1.19em;position:relative;width:100%;"><div style="background-color:#000000;height:1pt;position:relative;top:0.6em;width:25.0%;border:none;margin:0 auto;"></div></div><p style="font-family:'Times New Roman';font-size:24pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:EntityRegistrantName" id="Narr_Ja4uuifLGkW7guR5BfppGw"><b style="font-weight:bold;">Advanced Energy Industries,&#160;Inc.</b></ix:nonNumeric></p><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;">(Exact name of registrant as specified in its charter)</p><div style="font-family:'Times New Roman';font-size:10.0pt;margin-bottom:0pt;margin-top:0pt;min-height:1.19em;position:relative;width:100%;"><div style="background-color:#000000;height:1pt;position:relative;top:0.6em;width:25.0%;border:none;margin:0 auto;"></div></div><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:6pt;margin-bottom:12pt;visibility:hidden;">&#8203;</span></p><a id="_19b4a161_1fa1_4ceb_a081_7d06547737e4"></a><a id="Tc_WxgpHnJFy0yflweLKoJhiA_1_0"></a><a id="Tc_BmhKNBGteEmX8RU_9wmMBg_1_2"></a><a id="Tc_RByD9kQm9UGty2kts1yy9g_1_4"></a><table style="border-collapse:collapse;font-size:16pt;margin-left:auto;margin-right:auto;padding-left:0pt;padding-right:0pt;width:100%;"><tr><td style="vertical-align:top;width:31.52%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:12pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" format="ixt-sec:stateprovnameen" name="dei:EntityIncorporationStateCountryCode" id="Tc_jXUroxI5CU6BlWRasGaFxg_0_0"><b style="font-weight:bold;">Delaware</b></ix:nonNumeric></p></td><td style="vertical-align:top;width:3.29%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">&#160;&#160;&#160;&#160;</p></td><td style="vertical-align:top;width:31.02%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:12pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:EntityFileNumber" id="Tc_S5ViD6BixkmAFlg5Nl765g_0_2"><b style="font-weight:bold;">000-26966</b></ix:nonNumeric></p></td><td style="vertical-align:top;width:2.89%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">&#160;&#160;&#160;&#160;</p></td><td style="vertical-align:top;width:31.25%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:12pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:EntityTaxIdentificationNumber" id="Tc_GbBDwezZ8U6gAPGbMKRI_A_0_4"><b style="font-weight:bold;">84-0846841</b></ix:nonNumeric></p></td></tr><tr><td style="vertical-align:top;width:31.52%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:12pt;">(State or other jurisdiction of incorporation)</span></p></td><td style="vertical-align:top;width:3.29%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="margin-bottom:12pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:31.02%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:12pt;">(Commission File Number)</span></p></td><td style="vertical-align:top;width:2.89%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="margin-bottom:12pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:31.25%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:12pt;">(IRS Employer Identification No.)</span></p></td></tr></table><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:6pt;margin-bottom:12pt;visibility:hidden;">&#8203;</span></p><a id="_ad2d7841_2bff_44ae_b4b8_38b2b5dd571c"></a><a id="Tc_ce5nmuQefEmd78s8MVBtZg_1_0"></a><a id="Tc_cUABrdaKCE-wyAOkStJ_PA_2_0"></a><a id="Tc_2HOYPpW9jEKdm0gXtQ7-Ag_2_2"></a><table style="border-collapse:collapse;font-size:16pt;margin-left:auto;margin-right:auto;padding-left:0pt;padding-right:0pt;width:100%;"><tr style="height:1pt;"><td style="vertical-align:bottom;width:65.83%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:bottom;width:2.78%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:bottom;width:31.38%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr><tr><td style="vertical-align:bottom;width:65.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:12pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:EntityAddressAddressLine1" id="Narr_mW6xd-bzzkeBC7PJpIqZkQ"><b style="font-weight:bold;">1595 Wynkoop Street, Suite 800</b></ix:nonNumeric><b style="font-weight:bold;">, </b><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:EntityAddressCityOrTown" id="Narr_S9yVNhC9P06SCeclDNf1Dw"><b style="font-weight:bold;">Denver</b></ix:nonNumeric><b style="font-weight:bold;">, </b><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:EntityAddressStateOrProvince" id="Narr_fIAld6i2JUydIVEfAjLFOQ"><b style="font-weight:bold;">CO</b></ix:nonNumeric></p></td><td style="vertical-align:bottom;width:2.78%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">&#160;&#160;&#160;&#160;</p></td><td style="vertical-align:bottom;width:31.38%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:12pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:EntityAddressPostalZipCode" id="Tc_zrmtmYoyn0-Bm_rwBPzZ7Q_1_2"><b style="font-weight:bold;">80202</b></ix:nonNumeric></p></td></tr><tr><td style="vertical-align:bottom;width:65.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:12pt;">(Address of principal executive offices)</span></p></td><td style="vertical-align:bottom;width:2.78%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="margin-bottom:12pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:31.38%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:12pt;">(Zip Code)</span></p></td></tr></table><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:5pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:12pt;text-align:center;margin:0pt 0pt 0pt 3pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:CityAreaCode" id="Narr_i75pUT4kF0a67p1Fl4vNzQ"><b style="font-weight:bold;">(970)</b></ix:nonNumeric><b style="font-weight:bold;"> </b><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:LocalPhoneNumber" id="Narr_J2eMOMJxBkGyq35gCKdIWw"><b style="font-weight:bold;">407-6626</b></ix:nonNumeric></p><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt 0pt 0pt 3pt;"><span style="font-size:12pt;">(Registrant&#8217;s telephone number, including area code)</span></p><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt 0pt 0pt 3pt;"><span style="font-size:6pt;margin-bottom:12pt;margin-left:0pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt 0pt 0pt 3pt;"><b style="font-size:12pt;font-weight:bold;">Not applicable</b></p><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt 0pt 0pt 3pt;"><span style="font-size:12pt;">(Former name or former address, if changed since last report)</span></p><div style="font-family:'Times New Roman';font-size:10.0pt;margin-bottom:0pt;min-height:1.19em;position:relative;width:100%;"><div style="background-color:#000000;height:1pt;position:relative;top:0.6em;width:25.0%;border:none;margin:0 auto;"></div></div><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:6pt;margin-bottom:12pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">Check the appropriate box below if the Form&#160;8-K filing is intended to simultaneously satisfy the filing obligation of the </p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">registrant under any of the following provisions (see General Instruction A.2. below):</p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:6pt;visibility:hidden;">&#8203;</span></p><a id="_Hlk12624516"></a><a id="_9dc35fdb_cb97_4e4a_8522_01a129bb422b"></a><a id="Tc_mGFz_kTvM024pTFRaxES8Q_0_1"></a><a id="Tc_mhspe1J-4EiIgxsb7opYuA_2_1"></a><a id="Tc_AvY2UV_yYUKUgpGrXWl-oQ_4_1"></a><a id="Tc_bYvPtjeEs0yKr5u8U6zPeQ_6_1"></a><table style="border-collapse:collapse;font-size:16pt;margin-left:auto;margin-right:auto;padding-left:0pt;padding-right:0pt;width:100%;"><tr><td style="vertical-align:bottom;width:4.39%;margin:0pt;padding:0pt 2pt 0pt 0pt;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" format="ixt-sec:boolballotbox" name="dei:WrittenCommunications" id="Tc_WyfY1IIzYU2drbvPMGuWTQ_0_0"><span style="font-family:'Segoe UI Symbol';">&#9744;</span></ix:nonNumeric></p></td><td style="vertical-align:bottom;width:95.6%;margin:0pt;padding:0pt 2pt 0pt 0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">Written communications pursuant to Rule&#160;425 under the Securities Act (17 CFR 230.425)</p></td></tr><tr><td style="vertical-align:bottom;width:4.39%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="margin-bottom:12pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:95.6%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="margin-bottom:12pt;visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:bottom;width:4.39%;margin:0pt;padding:0pt 2pt 0pt 0pt;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" format="ixt-sec:boolballotbox" name="dei:SolicitingMaterial" id="Tc_I2ZJMaRc7kaaTIzEQEytNw_2_0"><span style="font-family:'Segoe UI Symbol';">&#9744;</span></ix:nonNumeric></p></td><td style="vertical-align:bottom;width:95.6%;margin:0pt;padding:0pt 2pt 0pt 0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">Soliciting material pursuant to Rule&#160;14a-12 under the Exchange Act (17 CFR 240.14a-12)</p></td></tr><tr><td style="vertical-align:bottom;width:4.39%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="margin-bottom:12pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:95.6%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="margin-bottom:12pt;visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:bottom;width:4.39%;margin:0pt;padding:0pt 2pt 0pt 0pt;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" format="ixt-sec:boolballotbox" name="dei:PreCommencementTenderOffer" id="Tc_rf5Dw7ig1E-NZ21RKvt95A_4_0"><span style="font-family:'Segoe UI Symbol';">&#9744;</span></ix:nonNumeric></p></td><td style="vertical-align:bottom;width:95.6%;margin:0pt;padding:0pt 2pt 0pt 0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">Pre-commencement communications pursuant to Rule&#160;14d-2(b)&#160;under the Exchange Act (17 CFR 240.14d-2(b))</p></td></tr><tr><td style="vertical-align:bottom;width:4.39%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="margin-bottom:12pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:95.6%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="margin-bottom:12pt;visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:bottom;width:4.39%;margin:0pt;padding:0pt 2pt 0pt 0pt;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" format="ixt-sec:boolballotbox" name="dei:PreCommencementIssuerTenderOffer" id="Tc_0UrkZpHUTkeWLJBtO1E2hw_6_0"><span style="font-family:'Segoe UI Symbol';">&#9744;</span></ix:nonNumeric></p></td><td style="vertical-align:bottom;width:95.6%;margin:0pt;padding:0pt 2pt 0pt 0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">Pre-commencement communications pursuant to Rule&#160;13e-4(c)&#160;under the Exchange Act (17 CFR 240.13e-4(c))</p></td></tr></table><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:6pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">Securities registered pursuant to Section 12(b) of the Act:</p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:4pt;visibility:hidden;">&#8203;</span></p><a id="_38360414_06ae_4c1b_8303_ea42a358773d"></a><a id="Tc_88YclAkBlUiofrnjnhk2cQ_1_0"></a><a id="Tc_swUY9W6CNE-d7Zow-DaifA_1_2"></a><a id="Tc_RrLiS_VyQ0uWhQnvCIVJrg_1_4"></a><table style="border-collapse:collapse;font-size:16pt;margin-left:auto;margin-right:auto;padding-left:0pt;padding-right:0pt;width:100%;"><tr style="height:1pt;"><td style="vertical-align:bottom;width:31.95%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:bottom;width:2.06%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:bottom;width:31.95%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:bottom;width:2.06%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:bottom;width:31.95%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr><tr style="height:19.9pt;"><td style="vertical-align:bottom;width:31.95%;margin:0pt;padding:0pt;"><div style="height:19.9pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:9pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">Title of each class</b></p></div></div></td><td style="vertical-align:bottom;width:2.06%;margin:0pt;padding:0pt;"><div style="height:19.9pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">&#160;&#160;&#160;&#160;</p></div></div></td><td style="vertical-align:bottom;width:31.95%;margin:0pt;padding:0pt;"><div style="height:19.9pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:9pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">Trading Symbol(s)</b></p></div></div></td><td style="vertical-align:bottom;width:2.06%;margin:0pt;padding:0pt;"><div style="height:19.9pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">&#160;&#160;&#160;&#160;</p></div></div></td><td style="vertical-align:bottom;width:31.95%;margin:0pt;padding:0pt;"><div style="height:19.9pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:9pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">Name of each exchange on which </b></p><p style="font-family:'Times New Roman';font-size:9pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">registered</b></p></div></div></td></tr><tr style="height:14pt;"><td style="vertical-align:top;width:31.95%;margin:0pt;padding:0pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:Security12bTitle" id="Tc_pzSoo8rWqkCJRTD88offmw_2_0"><b style="font-weight:bold;">Common Stock, $0.001&#160;par value</b></ix:nonNumeric></p></div></div></td><td style="vertical-align:bottom;width:2.06%;margin:0pt;padding:0pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="margin-bottom:12pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:31.95%;margin:0pt;padding:0pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" name="dei:TradingSymbol" id="Tc_ggllJmuXe0OQIdTRBpvgvw_2_2"><b style="font-weight:bold;">AEIS</b></ix:nonNumeric></p></div></div></td><td style="vertical-align:bottom;width:2.06%;margin:0pt;padding:0pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="margin-bottom:12pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:31.95%;margin:0pt;padding:0pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" format="ixt-sec:exchnameen" name="dei:SecurityExchangeName" id="Tc_H09Ef4RS9kmrqRV70FZukg_2_4"><b style="font-weight:bold;">NASDAQ Global Select Market</b></ix:nonNumeric></p></div></div></td></tr></table><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:1pt;margin-bottom:12pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:6pt;margin-bottom:12pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule&#160;405 of the Securities Act of 1933 (17 CFR &#167;230.405) or Rule&#160;12b-2&#160;of the Securities Exchange Act of 1934 (17 CFR&#160;&#167;240.12b-2).&#160;</p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">Emerging growth company <ix:nonNumeric contextRef="Duration_4_6_2020_To_4_6_2020_xsRsXUF33UGMB8ZpnaH9Mw" format="ixt-sec:boolballotbox" name="dei:EntityEmergingGrowthCompany" id="Narr_tIQ8qcUj8EWSigl6B_7-oQ"><span style="font-family:'Segoe UI Symbol';">&#9744;</span></ix:nonNumeric></p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:6pt;margin-bottom:12pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section&#160;13(a)&#160;of the Exchange Act. <span style="font-family:'Segoe UI Symbol';">&#9744;</span></p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:6pt;margin-bottom:12pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:10pt;padding-bottom:1pt;padding-top:1pt;border-bottom:3.0pt solid #000000;border-top:1.0pt solid #000000;margin:0pt;"><span style="font-size:1pt;margin-bottom:12pt;visibility:hidden;">&#8203;</span></p><p style="display:none;font-family:'Times New Roman';line-height:0pt;margin:0pt;"><span style="font-size:0pt;visibility:hidden;">&#8203;</span></p><a id="_5c8bd358_4c69_4ee4_a9b9_49fa09240cc2"></a></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:79.3%;border:0;margin:30pt 10.35% 30pt 10.35%;"></div><div style="max-width:100%;padding-left:10.35%;padding-right:10.35%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman';font-size:10pt;font-weight:bold;margin:0pt 0pt 12pt 0pt;">Item 1.01 Entry into a Material Definitive Agreement.</p><p style="font-family:'Times New Roman';font-size:10pt;text-align:justify;text-indent:24.5pt;margin:6pt 0pt 0pt 0pt;">On April 6, 2020 and April 7, 2020, Advanced Energy Industries, Inc. (the &#8220;<i style="font-style:italic;">Company</i>&#8221;) executed interest rate swap transactions in an aggregate notional amount of $286.3 million with various financial institutions. The initial notional amount of the interest rate swap transactions represents 85% of the outstanding principal balance of the term loan A debt under the Company&#8217;s existing Credit Agreement, dated as of September 10, 2019, and provides for the Company to pay an average fixed rate of 0.521% per annum in exchange for a variable interest rate based on 1-month USD-LIBOR-BBA. </p><p style="font-family:'Times New Roman';font-size:10pt;text-align:justify;text-indent:24.5pt;margin:6pt 0pt 0pt 0pt;">One interest rate swap transaction was entered into pursuant to an ISDA Master Agreement and Schedule with HSBC Bank USA, National Association (the &#8220;<i style="font-style:italic;">HSBC Interest Rate Swap</i>&#8221;), and the other was entered into pursuant to an ISDA Master Agreement and Schedule with Citibank, N.A. (the &#8220;<i style="font-style:italic;">Citibank Interest Rate Swap</i>&#8221; and, together with the HSBC Interest Rate Swap, the &#8220;<i style="font-style:italic;">Interest Rate Swaps</i>&#8221;). The HSBC Interest Rate Swap has an effective date of April 8, 2020, a termination date of September 10, 2024, and an initial amortizing notional amount of $143,171,875, with the Company paying a fixed rate of 0.498% per annum and receiving a floating rate of 1-month USD-LIBOR-BBA. The Citibank Interest Rate Swap has an effective date of April 9, 2020, a termination date of September 10, 2024, and an initial amortizing notional amount of $143,171,875, with the Company paying a fixed rate of 0.544% per annum and receiving a floating rate of 1-month USD-LIBOR-BBA. </p><p style="font-family:'Times New Roman';font-size:10pt;text-align:justify;text-indent:24.5pt;margin:12pt 0pt 0pt 0pt;">The foregoing description of the Interest Rate Swaps does not purport to be complete and is qualified in its entirety by reference to the respective ISDA Master Agreement, Schedule and Confirmation applicable to the Interest Rate Swap with each bank, which are filed respectively as Exhibits 10.1, 10.2, 10.3, 10.4, 10.5 and 10.6 hereto and incorporated herein by reference. </p><p style="font-family:'Times New Roman';font-size:10pt;margin:18pt 0pt 0pt 0pt;"><b style="font-weight:bold;">Item&#160;2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant. </b></p><p style="font-family:'Times New Roman';font-size:10pt;text-indent:24.5pt;margin:6pt 0pt 0pt 0pt;">The disclosure set forth above under Item 1.01 is incorporated by reference into this Item 2.03<span style="font-size:11pt;">. </span></p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:11pt;">&#160;</span></p><table style="border-collapse:collapse;font-size:16pt;padding-left:0pt;padding-right:0pt;width:100%;"><tr><td style="vertical-align:top;width:10%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">Item&#160;9.01</b></p></td><td style="vertical-align:top;width:89.99%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">Financial Statements and Exhibits. </b></p></td></tr></table><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><table style="border-collapse:collapse;font-size:16pt;margin-left:auto;margin-right:auto;padding-left:0pt;padding-right:0pt;width:100%;"><tr style="height:1pt;"><td style="vertical-align:middle;width:7%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"></div></div></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"></div></div></td><td style="vertical-align:middle;width:88.83%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"></div></div></td></tr><tr><td style="vertical-align:middle;width:7%;margin:0pt;padding:0pt;"></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"></td><td style="vertical-align:middle;width:88.83%;margin:0pt;padding:0pt;"></td></tr><tr><td style="vertical-align:bottom;white-space:nowrap;width:7%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;border-bottom:1.0pt solid #000000;margin:0pt;">Exhibit<br />No.</p></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">&#160;&#160;</p></td><td style="vertical-align:bottom;white-space:nowrap;width:88.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;border-bottom:1.0pt solid #000000;margin:0pt;">Description</p></td></tr><tr style="height:4.8pt;"><td style="vertical-align:middle;width:7%;margin:0pt;padding:0pt;"></td><td colspan="2" style="vertical-align:middle;width:92.99%;margin:0pt;padding:0pt;"></td></tr><tr><td style="vertical-align:top;white-space:nowrap;width:7%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">10.1</p></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">&#160;&#160;</p></td><td style="vertical-align:top;width:88.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><a href="ex-10d1.htm"><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">ISDA 2002 Master Agreement, by and between Advanced Energy Industries, Inc. and HSBC Bank USA, National Association, dated as of April 2, 2020 (the &#8220;</span><i style="font-family:'Times New Roman';font-size:10pt;font-style:italic;font-weight:normal;text-align:left;">HSBC ISDA Master Agreement</i><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">&#8221;).</span></a></p></td></tr><tr><td style="vertical-align:top;white-space:nowrap;width:7%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:88.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:top;white-space:nowrap;width:7%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">10.2</p></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:88.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><a href="ex-10d2.htm"><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">ISDA 2002 Master Agreement, by and between Advanced Energy Industries, Inc. and Citibank, N.A., dated as of April 7, 2020 (the &#8220;</span><i style="font-family:'Times New Roman';font-size:10pt;font-style:italic;font-weight:normal;text-align:left;">Citibank ISDA Master Agreement</i><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">&#8221;, and collectively with the HSBC ISDA Master Agreement, the &#8220;</span><i style="font-family:'Times New Roman';font-size:10pt;font-style:italic;font-weight:normal;text-align:left;">ISDA Master Agreements</i><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">&#8221;).</span></a></p></td></tr><tr><td style="vertical-align:top;white-space:nowrap;width:7%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:88.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr style="height:9.55pt;"><td style="vertical-align:top;white-space:nowrap;width:7%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">10.3</p></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">&#160;&#160;</p></td><td style="vertical-align:top;width:88.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><a href="ex-10d3.htm"><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">Schedule to the HSBC ISDA Master Agreement (the &#8220;</span><i style="font-family:'Times New Roman';font-size:10pt;font-style:italic;font-weight:normal;text-align:left;">HSBC Schedule</i><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">&#8221;).</span></a></p></td></tr><tr><td style="vertical-align:top;white-space:nowrap;width:7%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:88.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:top;white-space:nowrap;width:7%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">10.4</p></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:88.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><a href="ex-10d4.htm"><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">Schedule to the Citibank ISDA Master Agreement (the &#8220;</span><i style="font-family:'Times New Roman';font-size:10pt;font-style:italic;font-weight:normal;text-align:left;">Citibank Schedule</i><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">&#8221;, and collectively with the HSBC Schedule, the &#8220;</span><i style="font-family:'Times New Roman';font-size:10pt;font-style:italic;font-weight:normal;text-align:left;">Schedules</i><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">&#8221;).</span></a></p></td></tr><tr><td style="vertical-align:top;white-space:nowrap;width:7%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:88.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:top;white-space:nowrap;width:7%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">10.5</p></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:88.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><a href="ex-10d5.htm"><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">Rate Swap Transaction Confirmation, by and between Advanced Energy Industries, Inc. and HSBC Bank USA, National Association, dated April 7, 2020 (the &#8220;</span><i style="font-family:'Times New Roman';font-size:10pt;font-style:italic;font-weight:normal;text-align:left;">HSBC Confirmation</i><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">&#8221;).</span></a></p></td></tr><tr><td style="vertical-align:top;white-space:nowrap;width:7%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:88.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:top;white-space:nowrap;width:7%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">10.6</p></td><td style="vertical-align:bottom;width:4.16%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:88.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><a href="ex-10d6.htm"><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">Rate Swap Transaction Confirmation, by and between Advanced Energy Industries, Inc. and Citibank, N.A., dated April 9, 2020 (the &#8220;</span><i style="font-family:'Times New Roman';font-size:10pt;font-style:italic;font-weight:normal;text-align:left;">Citibank Confirmation</i><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">&#8221;, and collectively with the HSBC Confirmation, the &#8220;</span><i style="font-family:'Times New Roman';font-size:10pt;font-style:italic;font-weight:normal;text-align:left;">Confirmations</i><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">&#8221;).</span></a></p></td></tr></table><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt 0pt 12pt 0pt;"><span style="visibility:hidden;">&#8203;</span></p><a id="_9969ad60_4e68_4452_a016_49910205b11f"></a></div><div style="clear:both;margin-bottom:30pt;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:24pt 0pt 0pt 0pt;">2</p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:79.3%;border:0;margin:30pt 10.35% 30pt 10.35%;"></div><div style="max-width:100%;padding-left:10.35%;padding-right:10.35%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman';font-size:10pt;font-weight:bold;text-align:center;margin:0pt 0pt 12pt 0pt;">SIGNATURES</p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><table style="border-collapse:collapse;font-size:16pt;margin-left:auto;margin-right:auto;padding-left:0pt;padding-right:0pt;width:100%;"><tr style="height:1pt;"><td style="vertical-align:bottom;width:49.97%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:bottom;width:50.02%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr><tr><td style="vertical-align:bottom;width:49.97%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:50.02%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:bottom;width:49.97%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:50.02%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:bottom;width:49.97%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:50.02%;border-bottom:1px solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">/s/ Paul Oldham</p></td></tr><tr><td style="vertical-align:bottom;width:49.97%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="white-space:pre-wrap;">Date:  April 9, 2020</span></p></td><td style="vertical-align:bottom;width:50.02%;border-top:1px solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">Paul Oldham</p></td></tr><tr><td style="vertical-align:bottom;width:49.97%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:50.02%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">Chief Financial Officer&#160;&amp; Executive Vice President</p></td></tr><tr><td style="vertical-align:bottom;width:49.97%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:50.02%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr></table><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div><div style="clear:both;margin-bottom:30pt;width:100%;"><p style="font-family:'Times New Roman';font-size:10pt;text-align:center;margin:24pt 0pt 0pt 0pt;">3</p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;margin-left:10.35%;margin-right:10.35%;margin-top:30pt;page-break-after:avoid;width:79.3%;border:0;"></div></body></html>
[{"type": "8-K", "sequence": "1", "filename": "aeis-20191218x8kc8bb835.htm", "description": "8-K", "secsgml_size_bytes": 49783}]
{"company-data": {"conformed-name": "ADVANCED ENERGY INDUSTRIES INC", "cik": "0000927003", "assigned-sic": "3679", "irs-number": "840846841", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "000-26966", "film-number": "20785802"}, "business-address": {"street1": "1595 WYNKOOP STREET", "street2": "SUITE 800", "city": "DENVER", "state": "CO", "zip": "80202", "phone": "9702214670"}, "mail-address": {"street1": "1595 WYNKOOP STREET", "street2": "SUITE 800", "city": "DENVER", "state": "CO", "zip": "80202"}}
​
​
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, 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)
​
(Commission File Number)
​
(IRS Employer Identification No.)
​
​
​
​
1595 Wynkoop Street, Suite 800
,
Denver
,
CO
80202
(Address of principal executive offices)
​
(Zip Code)
​
(970)
407-6626
(Registrant's telephone number, including area code)
​
Not applicable
(Former name or former address, if changed since last report)
​
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the
registrant under any of the following provisions (see General Instruction A.2. below):
​
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
​
​
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
​
​
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
​
​
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
​
Securities registered pursuant to Section 12(b) of the Act:
​
​
​
​
​
​
Title of each class
Trading Symbol(s)
Name of each exchange on which
registered
Common Stock, $0.001 par value
​
AEIS
​
NASDAQ Global Select Market
​
​
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging growth company
☐
​
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
☐
​
​
Item 1.01 Entry into a Material Definitive Agreement.
On April 6, 2020 and April 7, 2020, Advanced Energy Industries, Inc. (the "
Company
") executed interest rate swap transactions in an aggregate notional amount of $286.3 million with various financial institutions. The initial notional amount of the interest rate swap transactions represents 85% of the outstanding principal balance of the term loan A debt under the Company's existing Credit Agreement, dated as of September 10, 2019, and provides for the Company to pay an average fixed rate of 0.521% per annum in exchange for a variable interest rate based on 1-month USD-LIBOR-BBA.
One interest rate swap transaction was entered into pursuant to an ISDA Master Agreement and Schedule with HSBC Bank USA, National Association (the "
HSBC Interest Rate Swap
"), and the other was entered into pursuant to an ISDA Master Agreement and Schedule with Citibank, N.A. (the "
Citibank Interest Rate Swap
" and, together with the HSBC Interest Rate Swap, the "
Interest Rate Swaps
"). The HSBC Interest Rate Swap has an effective date of April 8, 2020, a termination date of September 10, 2024, and an initial amortizing notional amount of $143,171,875, with the Company paying a fixed rate of 0.498% per annum and receiving a floating rate of 1-month USD-LIBOR-BBA. The Citibank Interest Rate Swap has an effective date of April 9, 2020, a termination date of September 10, 2024, and an initial amortizing notional amount of $143,171,875, with the Company paying a fixed rate of 0.544% per annum and receiving a floating rate of 1-month USD-LIBOR-BBA.
The foregoing description of the Interest Rate Swaps does not purport to be complete and is qualified in its entirety by reference to the respective ISDA Master Agreement, Schedule and Confirmation applicable to the Interest Rate Swap with each bank, which are filed respectively as Exhibits 10.1, 10.2, 10.3, 10.4, 10.5 and 10.6 hereto and incorporated herein by reference.
Item 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.
The disclosure set forth above under Item 1.01 is incorporated by reference into this Item 2.03
.
Item 9.01
Financial Statements and Exhibits.
​
Exhibit
No.
Description
10.1
ISDA 2002 Master Agreement, by and between Advanced Energy Industries, Inc. and HSBC Bank USA, National Association, dated as of April 2, 2020 (the "
HSBC ISDA Master Agreement
").
​
​
​
10.2
​
ISDA 2002 Master Agreement, by and between Advanced Energy Industries, Inc. and Citibank, N.A., dated as of April 7, 2020 (the "
Citibank ISDA Master Agreement
", and collectively with the HSBC ISDA Master Agreement, the "
ISDA Master Agreements
").
​
​
​
10.3
Schedule to the HSBC ISDA Master Agreement (the "
HSBC Schedule
").
​
​
​
10.4
​
Schedule to the Citibank ISDA Master Agreement (the "
Citibank Schedule
", and collectively with the HSBC Schedule, the "
Schedules
").
​
​
​
10.5
​
Rate Swap Transaction Confirmation, by and between Advanced Energy Industries, Inc. and HSBC Bank USA, National Association, dated April 7, 2020 (the "
HSBC Confirmation
").
​
​
​
10.6
​
Rate Swap Transaction Confirmation, by and between Advanced Energy Industries, Inc. and Citibank, N.A., dated April 9, 2020 (the "
Citibank Confirmation
", and collectively with the HSBC Confirmation, the "
Confirmations
").
​
2
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
​
​
​
​
​
​
​
​
/s/ Paul Oldham
Date:  April 9, 2020
Paul Oldham
​
Chief Financial Officer & Executive Vice President
​
​
​
​
​
3