Current Report Filing (8-k)
November 08 2021 - 04:21PM
Edgar (US Regulatory)
0000927003false00009270032021-11-082021-11-08
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): November 8, 2021
Advanced Energy
Industries, Inc.
(Exact name of registrant as specified in its charter)
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Delaware
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000-26966
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84-0846841
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(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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1595 Wynkoop Street, Suite
800, Denver,
Colorado
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80202
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(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):
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☐
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Written communications pursuant to Rule 425 under the
Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange
Act (17 CFR 240.14a-12)
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☐
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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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☐
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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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Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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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
☐
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 2.02 Results of Operations and Financial Condition.
The information in this Form 8-K
is furnished under “Item 2.02 Results of Operations and
Financial Condition” and Exhibit 99.1 attached hereto shall
not be deemed “filed” for purposes of Section 18 of the
Securities Act of 1934, nor shall they be deemed incorporated by
reference in any filing under the Securities Act of 1933, except as
shall be expressly set forth by specific reference in such
filing.
On November 8, 2021, Advanced Energy Industries, Inc. issued a
press release announcing its financial results for the quarter
ended September 30, 2021. A copy of the press release is furnished
with this Current Report on Form 8-K as Exhibit 99.1.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
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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/s/ Paul Oldham
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Date: November 8,
2021
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Paul Oldham
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Chief Financial Officer & Executive Vice President
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Advanced Energy Industries (NASDAQ:AEIS)
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