Attached files
| file | filename |
|---|---|
| EXCEL - IDEA: XBRL DOCUMENT - ADVANCED ENERGY INDUSTRIES INC | Financial_Report.xls |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
(Mark One)
| þ | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
For the quarterly period ended June 30, 2011.
or
| o | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
For the transition period from to .
Commission file number: 000-26966
ADVANCED ENERGY INDUSTRIES, INC.
(Exact name of registrant as specified in its charter)
| Delaware | 84-0846841 | |
| (State or other jurisdiction of incorporation | (I.R.S. Employer Identification No.) | |
| or organization) |
| 1625 Sharp Point Drive, Fort Collins, CO | 80525 | |
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code: (970) 221-4670
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by
Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for
such shorter period that the registrant was required to file such reports), and (2) has been
subject to such filing requirements for the past 90 days. Yes þ No o
Indicate by check mark whether the registrant has submitted electronically and posted on its
corporate Web site, if any, every Interactive Data File required to be submitted and posted
pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months
(or for such shorter period that the registrant was required to submit and post such files).
Yes þ No o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a
non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated
filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.
(Check one):
| Large accelerated filer o | Accelerated filer þ | Non-accelerated filer o | Smaller reporting company o | |||
| (Do not check if a smaller reporting company) |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of
the Exchange Act). Yes o No þ
As of July 29, 2011, there were 43,632,289 shares of the registrant’s Common Stock, par value
$0.001 per share, outstanding.
EXPLANATORY NOTE
This Amendment No. 1 (this “Amendment”) to the Quarterly Report on Form 10-Q for the
quarter ended June 30, 2011 (the “Form 10-Q”) of Advanced Energy Industries, Inc. is being filed
for the purpose of furnishing Exhibit 101 to the Form 10-Q in accordance with Rule 405 of
Regulation S-T. Exhibit 101 to this report provides the consolidated financial statements and
related notes from the Form 10-Q formatted in eXtensible Business Reporting Language (“XBRL”).
Pursuant to Rule 406T of Regulation S-T, the interactive data files on Exhibit 101 hereto are
deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or
12 of the Securities Act of 1933, as amended, are deemed not filed for purposes of Section 18 of
the Securities Exchange Act of 1934, as amended, and otherwise are not subject to liability under
those sections.
No attempt has been made in this Amendment to modify or update the other disclosures presented
in the Form 10-Q. This Amendment does not reflect events occurring after the filing of the Form
10-Q (i.e., occurring after August 2, 2011) or modify or update those disclosures that may be
affected by subsequent events. Such subsequent matters are addressed in subsequent reports filed by
the registrant with the SEC. Accordingly, this Amendment should be read in conjunction with the
Form 10-Q and the registrant’s other filings with the SEC.
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| ITEM 6. | EXHIBITS |
| 10.1 | Amendment to Leadership Corporate Incentive Plan. (1)* |
|||
| 31.1 | Certification of the Chief Executive Officer Pursuant
to Rule 13a-14(a) under the Securities Exchange Act of
1934, as adopted pursuant to Section 302 of the
Sarbanes-Oxley Act of 2002. (1) |
|||
| 31.2 | Certification of the Principal Financial Officer
Pursuant to Rule 13a-14(a) under the Securities
Exchange Act of 1934, as adopted pursuant to Section
302 of the Sarbanes-Oxley Act of 2002. (1) |
|||
| 32.1 | Certification of the Chief Executive Officer Pursuant
to 18 U.S.C. Section 1350, as adopted pursuant to
Section 906 of the Sarbanes-Oxley Act of 2002. (1) |
|||
| 32.2 | Certification of the Principal Financial Officer
Pursuant to 18 U.S.C. Section 1350, as adopted
pursuant to Section 906 of the Sarbanes-Oxley Act of
2002. (1) |
|||
| 101.INS | XBRL Instance Document |
|||
| 101.SCH | XBRL Schema Document |
|||
| 101.CAL | XBRL Calculation Linkbase Document |
|||
| 101.LAB | XBRL Label Linkbase Document |
|||
| 101.PRE | XBRL Presentation Linkbase Document |
|||
| 101.DEF | XBRL Definition Linkbase Document |
|||
| (1) | Incorporated by reference to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2011 (File No. 000-26966), filed August 2, 2011. | |
| * | Compensation Plan |
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SIGNATURE
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, thereunto duly authorized.
| ADVANCED ENERGY INDUSTRIES, INC. |
||||
| Dated: August 10, 2011 | /s/ Danny C. Herron | |||
| Danny C. Herron | ||||
| Executive Vice President & Chief Financial Officer | ||||
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INDEX TO EXHIBITS
| 10.1 | Amendment to Leadership Corporate Incentive Plan. (1)* |
|||
| 31.1 | Certification of the Chief Executive Officer Pursuant
to Rule 13a-14(a) under the Securities Exchange Act
of 1934, as adopted pursuant to Section 302 of the
Sarbanes-Oxley Act of 2002. (1) |
|||
| 31.2 | Certification of the Principal Financial Officer
Pursuant to Rule 13a-14(a) under the Securities
Exchange Act of 1934, as adopted pursuant to Section
302 of the Sarbanes-Oxley Act of 2002. (1) |
|||
| 32.1 | Certification of the Chief Executive Officer Pursuant
to 18 U.S.C. Section 1350, as adopted pursuant to
Section 906 of the Sarbanes-Oxley Act of 2002. (1) |
|||
| 32.2 | Certification of the Principal Financial Officer
Pursuant to 18 U.S.C. Section 1350, as adopted
pursuant to Section 906 of the Sarbanes-Oxley Act of
2002. (1) |
|||
| 101.INS | XBRL Instance Document |
|||
| 101.SCH | XBRL Schema Document |
|||
| 101.CAL | XBRL Calculation Linkbase Document |
|||
| 101.LAB | XBRL Label Linkbase Document |
|||
| 101.PRE | XBRL Presentation Linkbase Document |
|||
| 101.DEF | XBRL Definition Linkbase Document |
|||
| (1) | Incorporated by reference to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2011 (File No. 000-26966), filed August 2, 2011. | |
| * | Compensation Plan |
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