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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:8pt;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:9pt;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:8pt;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:9pt;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:8pt;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:8pt;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_5_19_2020_To_5_19_2020_oRRsH8ENk0qo5k7vZYrW9w" name="dei:Security12bTitle" id="Tc_TFfdeBKyB0arPuNOsrMYtA_2_0"><b style="font-size:9pt;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="font-size:9pt;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_5_19_2020_To_5_19_2020_oRRsH8ENk0qo5k7vZYrW9w" name="dei:TradingSymbol" id="Tc_bekQ-E7atUK2kVNqg4CcGg_2_2"><b style="font-size:9pt;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="font-size:9pt;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_5_19_2020_To_5_19_2020_oRRsH8ENk0qo5k7vZYrW9w" format="ixt-sec:exchnameen" name="dei:SecurityExchangeName" id="Tc_WBZFrh4YPEy96bxLzCTRCQ_2_4"><b style="font-size:9pt;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:5pt;margin-bottom:12pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:9pt;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 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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="_031fadee_4ba3_44af_9d88_312ec49b516c"></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 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.</p><p style="font-family:'Times New Roman';font-size:10pt;text-align:justify;text-indent:36pt;margin:6pt 0pt 0pt 0pt;">The Board of Directors (the &#8220;Board&#8221;) of Advanced Energy Industries, Inc. (the &#8220;Company&#8221;) appointed Neil D. Brinker as President of the Company, effective on May 20, 2020. &#160;Mr. Brinker, 44, joined the Company in June 2018 as its Executive Vice President &amp; Chief Operating Officer. Previously, Mr. Brinker served as a Group President at IDEX Corporation (&#8220;IDEX&#8221;), from July 2015, and was Platform President of IDEX&#8217;s Material Processing Technologies from May 2014 to July 2015 and General Manager of IDEX&#8217;s Fluid Management business from April 2012 to May 2014. &#160;Mr. Brinker will also continue to serve in his current role as Chief Operating Officer of the Company. </p><p style="font-family:'Times New Roman';font-size:10pt;text-align:justify;text-indent:36pt;margin:6pt 0pt 0pt 0pt;">Yuval Wasserman, who previously served as President and Chief Executive Officer of the Company until Mr. Brinker&#8217;s appointment, will continue as Chief Executive Officer of the Company. Mr. Brinker, in his capacity as President and Chief Operating Officer of the Company, will continue to report to the Company&#8217;s Chief Executive Officer, Mr. Wasserman. </p><p style="font-family:'Times New Roman';font-size:10pt;text-align:justify;text-indent:36pt;margin:6pt 0pt 0pt 0pt;">In connection with Mr. Brinker&#8217;s promotion to the position of President, the Compensation Committee of the Board (the &#8220;Compensation Committee&#8221;) approved an increase in Mr. Brinker&#8217;s annual base salary from $475,000 to $550,000 (the &#8220;New Base Salary&#8221;). &#160;As a result of the continued spread of COVID-19, the Company previously postponed merit increases for the base salaries of its named executive officers, including Mr. Brinker. Accordingly, Mr. Brinker&#8217;s actual post-promotion annual base salary will be $512,750 and is expected to be increased to the New Base Salary when merit increases for annual base salaries are reinstituted. In addition, the Compensation Committee approved an increase in Mr. Brinker&#8217;s (a) annual cash bonus target opportunity under the Company&#8217;s 2020 Short Term Incentive Plan from 70% to 75% and (b) long term incentive opportunity under the Company&#8217;s 2020 Long Term Incentive Plan from $1.1 million to $1.5 million, in both cases, with such increased amounts being pro-rated to reflect the period from May 20, 2020 to December 31, 2020. &#160;</p><p style="font-family:'Times New Roman';font-size:10pt;text-align:justify;text-indent:36pt;margin:6pt 0pt 0pt 0pt;">There are no arrangements or understandings between Mr. Brinker and any other persons pursuant to which Mr. Brinker was named President of the Company. There are no family relationships between Mr. Brinker and any of the Company&#8217;s directors, executive officers or persons nominated or chosen by the Company to become a director or executive officer, and Mr. Brinker is&#160;not a party to any transaction requiring disclosure under Item 404(a) of Regulation S-K. </p><p style="font-family:'Times New Roman';font-size:10pt;margin:19.79pt 0pt 0pt 0pt;"><b style="font-weight:bold;">Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.</b></p><p style="font-family:'Times New Roman';font-size:10pt;text-align:justify;text-indent:36pt;margin:6pt 0pt 0pt 0pt;">Effective as of May 19, 2020, the Board approved an amendment and restatement of the Company&#8217;s Amended &amp; Restated By-Laws (as amended, the &#8220;Second Amended &amp; Restated By-Laws&#8221;) to: (i)&#160;make minor clerical edits; and (ii) better reflect the allocation of responsibilities and duties between the Chief Executive Officer and the President, including, but not limited to, amendments to clarify that: </p><p style="font-family:'Times New Roman';font-size:10pt;padding-left:13.5pt;text-align:justify;text-indent:-13.5pt;margin:0pt 0pt 0pt 36pt;"><span style="margin-left:0pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:10pt;padding-left:13.5pt;text-align:justify;text-indent:-13.5pt;margin:0pt 0pt 3pt 36pt;">&#9679; The Chief Executive Officer, as opposed to the President, is permitted to call a special meeting of the stockholders; </p><p style="font-family:'Times New Roman';font-size:10pt;padding-left:13.5pt;text-align:justify;text-indent:-13.5pt;margin:0pt 0pt 3pt 36pt;">&#9679; In the absence of a Chairman of the Board, the Chief Executive Officer, as opposed to the President, will preside over annual and special meetings of the stockholders; </p><p style="font-family:'Times New Roman';font-size:10pt;padding-left:9pt;text-align:justify;text-indent:-9pt;margin:0pt 0pt 3pt 36pt;">&#9679; The Chief Executive Officer, as opposed to the President, will receive written resignations from directors and other executive officers; </p><p style="font-family:'Times New Roman';font-size:10pt;padding-left:9pt;text-align:justify;text-indent:-9pt;margin:0pt 0pt 3pt 36pt;">&#9679; The Chief Executive Officer, as opposed to the President, is permitted to call a special meeting of the Board;</p><p style="font-family:'Times New Roman';font-size:10pt;padding-left:9pt;text-align:justify;text-indent:-9pt;margin:0pt 0pt 3pt 36pt;">&#9679; In the absence of a Chairman of the Board, the Chief Executive Officer, as opposed to the President, will preside over meetings of the Board;</p><p style="font-family:'Times New Roman';font-size:10pt;padding-left:13.5pt;text-align:justify;text-indent:-13.5pt;margin:0pt 0pt 3pt 36pt;">&#9679; The Chief Financial Officer reports to the Chief Executive Officer, as opposed to the &#160; President; and</p><p style="font-family:'Times New Roman';font-size:10pt;padding-left:13.5pt;text-align:justify;text-indent:-13.5pt;margin:0pt 0pt 3pt 36pt;">&#9679; That the Chief Executive Officer, as opposed to the President, is permitted to remove any officer from office at any time, either with or without cause.</p><p style="font-family:'Times New Roman';font-size:10pt;text-align:justify;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;">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;text-align:justify;text-indent:36pt;margin:0pt;">The foregoing description of the Second Amended &amp; Restated By-Laws is qualified in its entirety by reference to the full text of the Second Amended &amp; Restated By-Laws, a copy of which is attached as Exhibit&#160;3.1 hereto and is incorporated herein by reference. </p><p style="font-family:'Times New Roman';font-size:10pt;margin:19.79pt 0pt 0pt 0pt;"><b style="font-weight:bold;">Item&#160;7.01 Regulation FD Disclosure.</b></p><a id="part_1_2_4"></a><a id="item_1_47_1"></a><p style="font-family:'Times New Roman';font-size:10pt;text-align:justify;text-indent:36pt;margin:6.59pt 0pt 0pt 0pt;">On May&#160;20, 2020, the Company issued a press release announcing the appointment of Mr. Brinker as President of the Company. &#160;A copy of the press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K and is hereby incorporated by reference into this Item 7.01. </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;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;table-layout:auto;width:100%;"><tr style="height:1pt;"><td style="vertical-align:middle;width:8.34%;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:2.65%;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 colspan="2" style="vertical-align:middle;width:88.99%;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:8.34%;margin:0pt;padding:0pt;"></td><td style="vertical-align:bottom;width:2.65%;margin:0pt;padding:0pt;"></td><td colspan="2" style="vertical-align:middle;width:88.99%;margin:0pt;padding:0pt;"></td></tr><tr><td style="vertical-align:bottom;white-space:normal;width:8.34%;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:2.65%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">&#160;&#160;</p></td><td colspan="2" style="vertical-align:bottom;white-space:normal;width:88.99%;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:8.34%;margin:0pt;padding:0pt;"></td><td colspan="3" style="vertical-align:middle;width:91.65%;margin:0pt;padding:0pt;"></td></tr><tr style="height:4.8pt;"><td style="vertical-align:middle;width:8.34%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">3.1</p></td><td colspan="2" style="vertical-align:middle;width:2.78%;margin:0pt;padding:0pt;"></td><td style="vertical-align:middle;width:88.87%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><a href="aeis-20200519xex3d1.htm"><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">Second Amended &amp; Restated By-Laws of Advanced Energy Industries, Inc.</span></a></p></td></tr><tr><td style="vertical-align:top;white-space:normal;width:8.34%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">99.1</p></td><td style="vertical-align:bottom;width:2.65%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">&#160;&#160;</p></td><td colspan="2" style="vertical-align:top;width:88.99%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;"><a href="aeis-20200519xex99d1.htm"><span style="font-family:'Times New Roman';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">Press Release dated May 20, 2020 entitled &#8220;</span><i style="font-family:'Times New Roman';font-size:10pt;font-style:italic;font-weight:normal;text-align:left;">Advanced Energy Promotes Neil Brinker to President</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:normal;width:8.34%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">104</p></td><td style="vertical-align:bottom;width:2.65%;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 colspan="2" style="vertical-align:top;width:88.99%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman';font-size:10pt;margin:0pt;">Cover Page Interactive Data File (embedded within the Inline XBRL document).</p></td></tr></table><p style="font-family:'Times New Roman';font-size:10pt;font-weight:bold;margin:0pt 0pt 12pt 0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman';font-size:10pt;text-align:justify;margin:6pt 0pt 0pt 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><a id="_ceddac82_f672_4a07_a953_83c78a40a599"></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;">3</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;">ADVANCED ENERGY INDUSTRIES, INC.</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/ Thomas O. McGimpsey</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:  May 20, 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;">Thomas O. McGimpsey</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;">Executive Vice President and General Counsel</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;">4</p></div></div>
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​
​
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):
May 19, 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)
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(Commission File Number)
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(IRS Employer Identification No.)
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​
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1595 Wynkoop Street, Suite 800
,
Denver
,
Colorado
80202
(Address of principal executive offices)
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(Zip Code)
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(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)
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​
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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​
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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​
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
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​
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Title of each class
Trading Symbol(s)
Name of each exchange on which
registered
Common Stock, $0.001 par value
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AEIS
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NASDAQ Global Select Market
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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
☐
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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.
☐
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Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
The Board of Directors (the "Board") of Advanced Energy Industries, Inc. (the "Company") appointed Neil D. Brinker as President of the Company, effective on May 20, 2020.  Mr. Brinker, 44, joined the Company in June 2018 as its Executive Vice President & Chief Operating Officer. Previously, Mr. Brinker served as a Group President at IDEX Corporation ("IDEX"), from July 2015, and was Platform President of IDEX's Material Processing Technologies from May 2014 to July 2015 and General Manager of IDEX's Fluid Management business from April 2012 to May 2014.  Mr. Brinker will also continue to serve in his current role as Chief Operating Officer of the Company.
Yuval Wasserman, who previously served as President and Chief Executive Officer of the Company until Mr. Brinker's appointment, will continue as Chief Executive Officer of the Company. Mr. Brinker, in his capacity as President and Chief Operating Officer of the Company, will continue to report to the Company's Chief Executive Officer, Mr. Wasserman.
In connection with Mr. Brinker's promotion to the position of President, the Compensation Committee of the Board (the "Compensation Committee") approved an increase in Mr. Brinker's annual base salary from $475,000 to $550,000 (the "New Base Salary").  As a result of the continued spread of COVID-19, the Company previously postponed merit increases for the base salaries of its named executive officers, including Mr. Brinker. Accordingly, Mr. Brinker's actual post-promotion annual base salary will be $512,750 and is expected to be increased to the New Base Salary when merit increases for annual base salaries are reinstituted. In addition, the Compensation Committee approved an increase in Mr. Brinker's (a) annual cash bonus target opportunity under the Company's 2020 Short Term Incentive Plan from 70% to 75% and (b) long term incentive opportunity under the Company's 2020 Long Term Incentive Plan from $1.1 million to $1.5 million, in both cases, with such increased amounts being pro-rated to reflect the period from May 20, 2020 to December 31, 2020.
There are no arrangements or understandings between Mr. Brinker and any other persons pursuant to which Mr. Brinker was named President of the Company. There are no family relationships between Mr. Brinker and any of the Company's directors, executive officers or persons nominated or chosen by the Company to become a director or executive officer, and Mr. Brinker is not a party to any transaction requiring disclosure under Item 404(a) of Regulation S-K.
Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
Effective as of May 19, 2020, the Board approved an amendment and restatement of the Company's Amended & Restated By-Laws (as amended, the "Second Amended & Restated By-Laws") to: (i) make minor clerical edits; and (ii) better reflect the allocation of responsibilities and duties between the Chief Executive Officer and the President, including, but not limited to, amendments to clarify that:
​
● The Chief Executive Officer, as opposed to the President, is permitted to call a special meeting of the stockholders;
● In the absence of a Chairman of the Board, the Chief Executive Officer, as opposed to the President, will preside over annual and special meetings of the stockholders;
● The Chief Executive Officer, as opposed to the President, will receive written resignations from directors and other executive officers;
● The Chief Executive Officer, as opposed to the President, is permitted to call a special meeting of the Board;
● In the absence of a Chairman of the Board, the Chief Executive Officer, as opposed to the President, will preside over meetings of the Board;
● The Chief Financial Officer reports to the Chief Executive Officer, as opposed to the   President; and
● That the Chief Executive Officer, as opposed to the President, is permitted to remove any officer from office at any time, either with or without cause.
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2
The foregoing description of the Second Amended & Restated By-Laws is qualified in its entirety by reference to the full text of the Second Amended & Restated By-Laws, a copy of which is attached as Exhibit 3.1 hereto and is incorporated herein by reference.
Item 7.01 Regulation FD Disclosure.
On May 20, 2020, the Company issued a press release announcing the appointment of Mr. Brinker as President of the Company.  A copy of the press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K and is hereby incorporated by reference into this Item 7.01.
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Item 9.01
Financial Statements and Exhibits.
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Exhibit
No.
Description
3.1
Second Amended & Restated By-Laws of Advanced Energy Industries, Inc.
99.1
Press Release dated May 20, 2020 entitled "
Advanced Energy Promotes Neil Brinker to President
".
104
​
Cover Page Interactive Data File (embedded within the Inline XBRL document).
​
​
​
3
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.
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ADVANCED ENERGY INDUSTRIES, INC.
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​
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/s/ Thomas O. McGimpsey
Date:  May 20, 2020
Thomas O. McGimpsey
​
Executive Vice President and General Counsel
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4