-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MHhPuAuttv1D2QSybmClr2VDXw4D2JZTdCoUBHf3uEEZYcBDLZK10cNFa8hufebA A5nUhHvmzldlmklLN18m6w== 0000891618-97-000688.txt : 19970222 0000891618-97-000688.hdr.sgml : 19970222 ACCESSION NUMBER: 0000891618-97-000688 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ESS TECHNOLOGY INC CENTRAL INDEX KEY: 0000907410 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 942928582 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48361 FILM NUMBER: 97535930 BUSINESS ADDRESS: STREET 1: 48401 FREMONT BLVD CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5104921088 MAIL ADDRESS: STREET 1: 48401 FREMONT BLVD CITY: FREMONT STATE: CA ZIP: 94538 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CHAN DAVID Y W TRUST CENTRAL INDEX KEY: 0001032464 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 760 MAHOGANY LANE CITY: SUNNYVALE STATE: CA ZIP: 94086 BUSINESS PHONE: 4083431088 MAIL ADDRESS: STREET 1: 760 MOHOGANY LANE CITY: SUNNYVALE STATE: CA ZIP: 94086 SC 13G 1 SCHEDULE 13G 1 -------------------------------- OMB APPROVAL -------------------------------- OMB Number: 3235-0145 UNITED STATES Expires: October 31, 1994 SECURITIES AND EXCHANGE COMMISSION Estimated average burden WASHINGTON, D.C. 20549 hours per response......14.90 -------------------------------- SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* -------- ESS Technology, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 269151-10-6 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page 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 (however, see the Notes). SEC 1746 (12-91) 2 CUSIP NO. 269151-10-8 13G PAGE 2 OF 7 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON THE DAVID Y.W. CHAN TRUST - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) X - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 1,101,578 NUMBER OF ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 ---------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 1,101,578 ---------------------------------------------------------- 8 SHARED DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,101,578 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.83% , BASED ON 38,926,386 TOTAL SHARES OUTSTANDING AS OF JANUARY 31, 1997. - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 3 CUSIP NO. 269151-10-8 13G PAGE 3 OF 7 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON THE EDWARD Y.C. CHAN TRUST - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) X - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 1,101,576 NUMBER OF ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 ---------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 1,101,576 ---------------------------------------------------------- 8 SHARED DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,101,576 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.83% , BASED ON 38,926,386 TOTAL SHARES OUTSTANDING AS OF JANUARY 31, 1997. - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 4 CUSIP NO. 269151-10-8 13G PAGE 4 OF 7 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON THE MICHAEL Y.J. CHAN TRUST - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) X - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 351,434 NUMBER OF ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 ---------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 351,434 ---------------------------------------------------------- 8 SHARED DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 351,434 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.9% , BASED ON 38,926,386 TOTAL SHARES OUTSTANDING AS OF JANUARY 31, 1997. - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 5 Page 5 of 7 Item 1(a) Name of Issuer. ESS Technology, Inc. Item 1(b) Address of Issuer's Principal Executive Offices. 48401 Fremont Boulevard Fremont, CA 94538 Item 2(a) Names of Persons Filing. The David Y.W. Chan Trust, The Edward Y.C. Chan Trust, The Michael Y.J. Chan Trust, and Item 2(b) Address of Principal Business Office. 760 Mahogany Lane, Sunnyvale, CA 94086. Item 2(c) Citizenship. Each of The David Y.W. Chan Trust, The Edward Y.C. Chan Trust, and The Michael Y.J. Chan Trust are California Trusts. Item 2(d) Title of Class of Securities. Common Stock, no par value Item 2(e) CUSIP Number. 269151-10-6 Item 3 If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) ___ Broker Dealer registered under Section 15 of the Act (b) ___ Bank as defined in Section 3(a)(6) of the Act (b) ___ Insurance Company as defined in Section 3(a)(19) of the Act (c) ___ Investment Company registered under Section 8 of the Investment Company Act (d) ___ Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (e) ___ Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Section 240.13d-1(b)(1)(ii)(F) (f) ___ Parent Holding Company, in accordance with Section 240.13d-1(b)(ii)(G) (Note: See Item 7) (g) ___ Group, in accordance with Section 240.13d-1(b)(1) (ii)(H) 6 Page 6 of 7 Item 4. Ownership (a) Amount Beneficially Owned 2,554,588 (b) Percent of Class 6.56% (*based on 38,926,386 shares outstanding as of January 31, 1997) (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 2,554,588 (ii) shared power to vote or to direct vote (iii) sole power to dispose or to direct disposition of 2,554,588 (iv) shared power to dispose or to direct disposition of Item 5. Ownership of Five Percent or Less of a Class. not applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person. not applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported On By the Parent Holding Company. not applicable Item 8. Identification and Classification of Members of the Group. The David Y.W. Chan Trust (OO) The Edward Y.C. Chan Trust (OO) The Michael Y.J. Chan Trust (OO) Item 9. Notice of Dissolution of the Group. not applicable 7 Page 7 of 7 Item 10. Certification. 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 transactions having such purposes or effect. After reasonable inquiry and to the best of my knowledge and believe, I certify that the information set forth in this statement is true, complete and correct. Date: February 13, 1997 THE DAVID Y.W. CHAN TRUST /S/ Sung Kook Kim --------------------------- Sung Kook Kim (as trustee for the Chan family trusts) THE EDWARD Y.C. CHAN TRUST /S/ Sung Kook Kim --------------------------- Sung Kook Kim (as trustee for the Chan family trusts) THE MICHAEL Y.J. CHAN TRUST /S/ Sung Kook Kim --------------------------- Sung Kook Kim (as trustee for the Chan family trusts) -----END PRIVACY-ENHANCED MESSAGE-----