Statement of Ownership (sc 13g)
February 17 2015 - 06:04AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities and Exchange Act of 1934
Advanced Energy Industries, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
007973100
(CUSIP Number)
December 31, 2014
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to
designate the rule pursuant to which this Schedule is filed:
This Schedule is filed pursuant to Rule 13d-1(b)
The information required in the remainder of this cover page (except any items to which the form provides a cross-reference) shall not be deemed to be
filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.
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1) |
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Name of
Reporting Person S.S. or I.R.S. Identification No. of Above Person
Ameriprise Financial, Inc. IRS No. 13-3180631 |
2) |
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Check the Appropriate Box if a Member
of a Group (a) ¨ (b) x*
* This filing describes the reporting persons relationship with other persons, but the reporting person does not
affirm the existence of a group. |
3) |
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SEC Use Only
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4) |
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Citizenship or Place of
Organization Delaware |
NUMBER OF
SHARES BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH |
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5) |
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Sole Voting Power
0 |
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6) |
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Shared Voting Power
158,337 |
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7) |
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Sole Dispositive Power
0 |
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8) |
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Shared Dispositive Power
2,755,295 |
9) |
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Aggregate Amount Beneficially Owned by Each Reporting Person
2,755,295 |
10) |
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Check if the Aggregate Amount in Row
(9) Excludes Certain Shares Not Applicable |
11) |
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Percent of Class Represented by Amount
In Row (9) 6.87% |
12) |
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Type of Reporting Person
HC |
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1) |
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Name of
Reporting Person S.S. or I.R.S. Identification No. of Above Person
Columbia Management Investment Advisers, LLC IRS No.
41-1533211 |
2) |
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Check the Appropriate Box if a Member
of a Group (a) ¨ (b) x*
* This filing describes the reporting persons relationship with other persons, but the reporting
person does not affirm the existence of a group. |
3) |
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SEC Use Only
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4) |
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Citizenship or Place of
Organization Minnesota |
NUMBER OF
SHARES BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH |
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5) |
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Sole Voting Power
0 |
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6) |
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Shared Voting Power
158,337 |
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7) |
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Sole Dispositive Power
0 |
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8) |
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Shared Dispositive Power
2,733,810 |
9) |
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Aggregate Amount Beneficially Owned by Each Reporting Person
2,733,810 |
10) |
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Check if the Aggregate Amount in Row
(9) Excludes Certain Shares Not Applicable |
11) |
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Percent of Class Represented by Amount
In Row (9) 6.82% |
12) |
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Type of Reporting Person
IA |
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1(a) |
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Name of Issuer: |
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Advanced Energy Industries, Inc. |
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1(b) |
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Address of Issuers Principal |
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1625 Sharp Point Drive |
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Executive Offices: |
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Ft. Collins, CO, 80525 |
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2(a) |
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Name of Person Filing: |
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(a) Ameriprise Financial, Inc. (AFI) |
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(b) Columbia Management Investment |
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Advisers, LLC (CMIA) |
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2(b) |
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Address of Principal Business Office: |
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(a) Ameriprise Financial, Inc. |
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145 Ameriprise Financial Center |
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Minneapolis, MN 55474 |
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(b) 225 Franklin St. |
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Boston, MA 02110 |
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2(c) |
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Citizenship: |
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(a) Delaware |
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(b) Minnesota |
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2(d) |
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Title of Class of Securities: |
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Common Stock |
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2(e) |
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Cusip Number: |
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007973100 |
3 |
Information if statement is filed pursuant to Rules 13d-1(b) or 13d-2(b): |
(a) Ameriprise
Financial, Inc.
A parent holding company in accordance with Rule 13d-1(b)(1)(ii)(G). (Note: See Item 7)
(b) Columbia Management Investment Advisers, LLC
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E).
4 |
Incorporated by reference to Items (5)-(9) and (11) of the cover page pertaining to each reporting person. |
AFI, as the parent company of CMIA, may be deemed to beneficially own the shares reported herein by CMIA. Accordingly, the shares reported
herein by AFI include those shares separately reported herein by CMIA.
Each of AFI and CMIA disclaims beneficial ownership of any shares
reported on this Schedule.
5 |
Ownership of 5% or Less of a Class: Not Applicable |
6 |
Ownership of more than 5% on Behalf of Another Person: Not Applicable |
7 |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: |
AFI: See Exhibit I
8 |
Identification and Classification of Members of the Group: |
Not Applicable
9 |
Notice of Dissolution of Group: |
Not Applicable
By signing below I certify that, to the best of my knowledge and belief, the
securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in
connection with or as a participant in any transaction having such purposes or effect.
Signature
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
Dated: February 13, 2015
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Ameriprise Financial, Inc. |
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By: |
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/s/ Martha Skinner |
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Name: Martha Skinner |
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Title: Director Financial Reporting Accounting and Administration Services |
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Columbia Management Investment |
Advisers, LLC |
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By: |
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/s/ Amy Johnson |
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Name: Amy Johnson |
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Title: COO and Managing Director |
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Contact Information |
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Martha Skinner |
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Director Fund Administration Financial Reporting |
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Telephone: (612) 671-7086 |
Exhibit Index
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Exhibit I |
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Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company. |
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Exhibit II |
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Joint Filing Agreement |
Exhibit I
to
Schedule 13G
Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows:
Investment Adviser Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers
Act of 1940.
Exhibit II
to
Schedule 13G
Joint Filing Agreement
The undersigned persons
agree and consent to the joint filing on their behalf of this Schedule 13G dated February 13, 2015 in connection with their beneficial ownership of Advanced Energy Industries, Inc. Columbia Management Investment Advisers, LLC authorizes
Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is attached and make any necessary amendments thereto.
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Ameriprise Financial, Inc. |
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By: |
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/s/ Martha Skinner |
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Martha Skinner |
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Director Financial Reporting Accounting and Administration Services |
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Columbia Management Investment Advisers, LLC |
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By: |
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/s/ Amy Johnson |
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Amy Johnson |
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COO and Managing Director |
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