As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 6/01/20  Advanced Energy Industries Inc    SD         12/31/19    2:81K                                    Toppan Merrill Bridge/FA

Document/Exhibit                   Description                      Pages   Size 

 1: SD          Specialized Disclosure Report Relating to the Use   HTML     24K 
                of Conflict Minerals                                             
 2: EX-1.01     Conflict Minerals Report                            HTML     20K 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

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FORM SD

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SPECIALIZED DISCLOSURE REPORT

 

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Advanced Energy Industries, Inc.

(Exact name of registrant as specified in its charter)

 

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Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

 

 

 

 

Section 1 - Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

 

Advanced Energy Industries, Inc. (the “Company”) manufactures or contracts to manufacture products that may contain “conflict minerals” as defined in paragraph (d)(3) of Item 1.01 of the Specialized Disclosure Report on Form SD. As these materials are necessary to the functionality and production of the Company’s products, the Company has conducted a reasonable country of origin inquiry regarding these materials designed to determine whether any of the conflict minerals originated in the Democratic Republic of the Congo or an adjoining country (as defined in paragraph (d)(1) of Item 1.01 of the Specialized Disclosure Report on Form SD).

 

The Company's reasonable country of origin inquiry and due diligence processes are described in the Conflict Minerals Report for the reporting period January 1, 2019 to December 31, 2019 attached hereto as Exhibit 1.01.

 

Conflict Minerals Disclosure

 

A copy of the Company’s Conflict Minerals Report is filed as Exhibit 1.01 hereto and is publicly available at https://www.advancedenergy.com/globalassets/non-resource-library-assets/sds-documents/conflict-minerals-report.

 

Item 1.02 Exhibits

 

The Company’s Conflict Minerals Report is filed as Exhibit 1.01 hereto.

 

Section 2 - Exhibits

 

Item 2.01 Exhibits

 

Exhibit 1.01Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD for the year ended December 31, 2019.

 

 

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.