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AEIS Advanced Energy Industries

Filed: 3 May 21, 12:53pm

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 30, 2021

A picture containing logo

Description automatically generated

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, Colorado

    

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 5.07 Submission of Matters to a Vote of Security Holders.

Advanced Energy Industries, Inc. (“Advanced Energy” or the “Company”) held its 2021 Annual Meeting of Stockholders on Friday, April 30, 2021 to vote on four proposals. The following matters as set forth in the Proxy Statement dated March 10, 2021, which was filed with the Securities and Exchange Commission pursuant to Regulation 14A under the Securities Exchange Act of 1934, were voted upon with the results indicated below.

1.Election of ten (10) Directors.

The following ten nominees were elected to serve as directors of the Company, with the following votes tabulated:

For

Withhold

Broker Non-Vote

Grant H. Beard

34,820,770

184,964

1,158,328

Frederick A. Ball

34,197,947

807,787

1,158,328

Anne T. DelSanto

34,989,483

16,251

1,158,328

Tina M. Donikowski

34,539,488

466,246

1,158,328

Ronald C. Foster

34,967,246

38,488

1,158,328

Edward C. Grady

34,192,261

813,473

1,158,328

Stephen D. Kelley

34,629,022

376,712

1,158,328

Lanesha T. Minnix

34,988,479

17,255

1,158,328

Thomas M. Rohrs

32,874,740

2,130,994

1,158,328

John A. Roush

34,475,435

530,299

1,158,328

Each director has been elected to serve until the 2022 Annual Meeting of Stockholders, or until his or her successor has been elected and qualified or until such director’s earlier resignation or removal.

2.Ratification of the appointment of Ernst & Young LLP as Advanced Energy’s independent registered public accounting firm for 2021.

The appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for 2021 was ratified, with the following votes tabulated:

For

Against

Abstain

Broker Non-Vote

35,944,142

208,781

11,139

-

3.Advisory approval of Advanced Energy’s compensation of its named executive officers.

The advisory approval of the compensation of the Company’s named executive officers as disclosed in the proxy statement was approved, with the following votes tabulated:

For

Against

Abstain

Broker Non-Vote

34,666,227

320,642

18,865

1,158,328

4.Approval of an Increase in the Total Number of Shares of Common Stock Authorized for Issuance under the Employee Stock Purchase Plan from 1,000,000 to 1,500,000.

The approval of the increase in total number of shares of common stock under the Employee Stock Purchase Plan as disclosed in the proxy statement was approved, with the following votes tabulated:

For

Against

Abstain

Broker Non-Vote

34,945,295

40,931

19,508

1,158,328

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/ Thomas O. McGimpsey

Date: May 3, 2021

Thomas O. McGimpsey

Executive Vice President, Chief Administrative Officer, and Corporate Secretary