-----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, KLgQIFyKhSk0Pi2fIotYXhfweNCoipdM0rkU8ZQpSdoDhboV7vLEn3L07oRjnR+Q rl0FYY7aEEuKqe0rHlxvQA== 0000891618-04-000546.txt : 20040211 0000891618-04-000546.hdr.sgml : 20040211 20040211163655 ACCESSION NUMBER: 0000891618-04-000546 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040211 GROUP MEMBERS: FRED S L CHAN 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48361 FILM NUMBER: 04586797 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 ANNIE M H CENTRAL INDEX KEY: 0001008151 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 48401 FREMONT BLVD CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5102261088 MAIL ADDRESS: STREET 1: C/O ESS TECHNOLOGY INC STREET 2: 48401 FREMONT BLVD CITY: FREMONT STATE: CA ZIP: 94538 SC 13G/A 1 f96413a3sc13gza.htm AMENDMENT NO. 3 TO SCHEDULE 13G sc13gza
 

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G/A

Under the Securities Exchange Act of 1934
(Amendment No. 3)*

ESS TECHNOLOGY, INC.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

269151 10 6

(Cusip Number)

December 31, 2003

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

        o Rule 13d-1 (b)

        o Rule 13d-1 (c)

        x Rule 13d-1 (d)

*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 the disclosures provided in a prior cover page.

The information required in 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 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).

 

 

             
13G/A
CUSIP No. 269151 10 6
  1. Name of Reporting Person:
ANNIE M.H. CHAN		 I.R.S. Identification Nos. of above persons (entities only):
  2. Check the Appropriate Box if a Member of a Group:
    (a) o  
    (b) x (1)
  3. SEC Use Only:
  4. Citizenship or Place of Organization:
U.S.A.
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
5,248,677 as of December 31, 2003 (2)
6. Shared Voting Power:
0
7. Sole Dispositive Power:
3,248,677 as of December 31, 2003 (2)
8.Shared Dispositive Power:
0
  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
5,995,345 as of December 31, 2003 (2)
  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
651,476 shares held in trust for the benefit of Edward Y.C. Chan; and
714,758 shares held in trust for the benefit of David Y.W. Chan (2)
  11.Percent of Class Represented by Amount in Row (9):
15.3% based on 39,248,230 total shares outstanding as of December 31, 2003
  12.Type of Reporting Person:
IN

2

 

             
13G/A
CUSIP No. 269151 10 6
  1. Name of Reporting Person:
FRED S.L. CHAN		 I.R.S. Identification Nos. of above persons (entities only):
  2. Check the Appropriate Box if a Member of a Group:
    (a) o  
    (b) x (1)
  3. SEC Use Only:
  4. Citizenship or Place of Organization:
U.S.A.
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
466,668 as of December 31, 2003
6. Shared Voting Power:
0
7. Sole Dispositive Power:
466,668 as of December 31, 2003
8.Shared Dispositive Power:
0
  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
5,995,345 as of December 31, 2003 (2)
  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
651,476 shares held in trust for the benefit of Edward Y.C. Chan; and
714,758 shares held in trust for the benefit of David Y.W. Chan (2)
  11.Percent of Class Represented by Amount in Row (9):
15.3% based on 39,248,230 total shares outstanding as of December 31, 2003.
  12.Type of Reporting Person:
IN

3

 

Item 1(a).  Name of Issuer:
ESS Technology, Inc.

Item 1(b).  Address of Issuer’s Principal Executive Offices:
48401 Fremont Blvd., Fremont, California 94538

Item 2(a).  Name of Person Filing:
Annie M.H. Chan and Fred S.L. Chan

Item 2(b).  Address of Principal Business Office or, if none, Residence:
48401 Fremont Blvd., Fremont, California 94538

Item 2(c).  Citizenship:
U.S.A.

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), 13d-2(b) or 13d-2(c), check whether the person filing is a:
Not Applicable

4

 

Item 4. Ownership.

     Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

(a)   Amount Beneficially Owned:

    5,995,345 as of December 31, 2003 (2)

(b)   Percent of Class:

    15.3% based on 39,248,230 total shares outstanding as of December 31, 2003

c)   Number of shares as to which such person has:

  (i)   Sole power to vote or to direct the vote of

  Annie M.H. Chan: 5,248,677
Fred S.L. Chan: 466,668

  (ii)   Shared power to vote or to direct the vote of Annie M.H. Chan is 0; Fred S.L. Chan is 0

  (iii)   Sole power to dispose or to direct the disposition of

  Annie M.H. Chan: 3,248,677
Fred S.L. Chan: 466,668

  (iv)   Shared power to dispose or to direct the disposition of Annie M.H. Chan is 0; Fred S.L. Chan is 0

Item 5. Ownership of Five Percent or Less of a Class.

               N/A

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

               See footnote (2).

Item 7.  Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

               N/A

Item 8. Identification and Classification of Members of the Group.

               N/A

Item 9. Notice of Dissolution of Group.

               N/A

Item 10. Certification.

               N/A

5

 

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 10, 2004        
         
    By: /s/ Annie M. H. Chan
   
        Annie M.H. Chan
Dated: February 10, 2004        
         
    By: /s/ Fred S. L. Chan
   
        Fred S.L. Chan

(1)   Mr. Fred S.L. Chan and Ms. Annie M.H. Chan are married to each other (“the Chans”.)

(2)   This amount includes 3,248,677 shares held by the Annie M.H. Chan Living Trust; 2,000,000 shares held by Annie M.H. Chan which are subject to forward sales contracts (the “VDF shares”) as to which Annie M.H. Chan has voting, but not dispositive power (1,000,000 of the VDF shares settled on or about 1/28/04); options of F. S. L. Chan to purchase 466,668 shares of Issuer’s common stock exercisable within 60 days of December 31, 2003; and 280,000 shares held in trust for the benefit of Michael Y. J. Chan, a minor child of the Chans. Mee Sim Lee, Sung Kook Kim and Myong Shin Kim are trustees of Michael Chan’s trust. The Chans have two additional adult children who do not reside with them, David Y.W. Chan and Edward Y.C. Chan. This amount does not include 714,578 shares held in trust by Mee Sim Lee, Sung Kook Kim and Myong Shin Kim for the benefit of David Y. W. Chan, or 651,476 shares held in trust by Mee Sim Lee and Sung Kook Kim for the benefit of Edward Y. C. Chan.

6

 

EXHIBIT INDEX

Exhibit A.  Joint Filing Agreement, dated February 10, 2004 by and between Annie M.H. Chan and Fred S.L. Chan.

Exhibit A

JOINT FILING AGREEMENT

The undersigned hereby agree that the statement on Schedule 13G/A (Amendment No. 3) dated February 10, 2004 with respect to the Common Stock of ESS Technology, Inc. and any amendments thereto is signed by each of the undersigned and shall be filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934.

This Agreement may be executed in counterparts, each of which shall for all purposes be deemed to be an original and all of which shall constitute one and the same instrument.

         
Dated: February 10, 2004        
         
    By: /s/ Annie M. H. Chan
   
        Annie M.H. Chan
Dated: February 10, 2004        
         
    By: /s/ Fred S. L. Chan
   
        Fred S.L. Chan

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