-----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, Iu+RFlnBBbuldLGUjZbrVB53ncZvQOXmcD+8E9NLPNlArZoM+Inz1WQtpqDRjDxr HpfVxAgotP9BWAp9JWXn3g== 0001035704-04-000061.txt : 20040211 0001035704-04-000061.hdr.sgml : 20040211 20040211155445 ACCESSION NUMBER: 0001035704-04-000061 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVANCED ENERGY INDUSTRIES INC CENTRAL INDEX KEY: 0000927003 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 840846841 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-50165 FILM NUMBER: 04586340 BUSINESS ADDRESS: STREET 1: 1625 SHARP POINT DR CITY: FT COLLINS STATE: CO ZIP: 80525 BUSINESS PHONE: 9702214670 MAIL ADDRESS: STREET 1: SHARP POINT DRIVE CITY: FORT COLLINS STATE: CO ZIP: 80525 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SCHATZ DOUGLAS S & SCHATZ JILL E FAMILY TRUST CENTRAL INDEX KEY: 0001228910 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: LOCHLAND MANAGEMENT CO STREET 2: 1 OLD TOWN SQ STE 302 CITY: FORT COLLINS STATE: CO ZIP: 80525 BUSINESS PHONE: 9704935959 SC 13G 1 d12584sc13g.htm SCHEDULE 13G sc13g
 

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

SCHEDULE 13G

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

Advanced Energy Industries, Inc.

(Name of Issuer)

Common Stock, $0.001 par value

(Title of Class of Securities)

007973 10 0

(Cusip Number)

November 4, 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
CUSIP No. 007973 10 0 Page 2 of 5
  1. Name of Reporting Person:
Douglas S. Schatz & Jill E. Schatz Family Trust		 I.R.S. Identification Nos. of above persons (entities only):
  2. Check the Appropriate Box if a Member of a Group:
    (a) o  
    (b) o  
  3. SEC Use Only:
  4. Citizenship or Place of Organization:
WYOMING
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
10,657,782
6. Shared Voting Power:
150,000
7. Sole Dispositive Power:
10,657,782
8.Shared Dispositive Power:
150,000
  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
10,807,782
  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
o
  11.Percent of Class Represented by Amount in Row (9):
33.2%
  12.Type of Reporting Person:
OO

PAGE 2 OF 5

 

     
Item 1(a)   Name of Issuer
     
    Advanced Energy Industries, Inc.
     
Item 1(b)   Address of Issuer’s Principal Executive Offices
     
    1625 Sharp Point Drive
    Fort Collins, CO 80525
     
Item 2(a)   Names of Person Filing
     
    Douglas S. Schatz & Jill E. Schatz Family Trust
     
Item 2(b)   Address of Principal Business Office or, if None, Residence
     
    c/o Lochland Management Company
    1 Old Town Square, Suite 302
    Fort Collins, CO 80525
     
Item 2(c)   Citizenship
     
    Wyoming
     
Item 2(d)   Title of Class of Securities
     
    Common Stock, $0.001 par value
     
Item 2(e)   CUSIP Number
     
    007973 10 0
     
Item 3.   If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b) or (c), check whether the person filing is a:
     
    Not applicable
     
Item 4.   Ownership
         
         
    (a)   Amount Beneficially Owned:
         
        10,807,782 shares
         
    (b)   Percent of Class:
         
        33.2 %

PAGE 3 OF 5

 

 

                 
    (c)   Number of shares as to which such person has:    
                 
        (i)   sole power to vote or to direct the vote:   10,657,782
                 
        (ii)   shared power to vote or to direct the vote:   150,000**
                 
        (iii)   sole power to dispose or to direct the disposition of:   10,657,782
                 
        (iv)   shared power to dispose or to direct the disposition of:   150,000**
                 
            ** Mr. Schatz is a trustee of a charitable foundation that is the record holder of 150,000 shares of common stock of the issuer. The three other trustees of the charitable foundation are members of Mr. Schatz’ immediate family. Accordingly, Mr. Schatz may be deemed to share with the other trustees voting and dispositive power with respect to the charitable foundation’s 150,000 shares. Mr. Schatz disclaims beneficial ownership of the shares held by the charitable foundation.
     
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 By the Parent Holding Company
     
    Not applicable
     
Item 8.   Identification and Classification of Members of the Group
     
    Not applicable
     
Item 9.   Notice of Dissolution of Group
     
    Not applicable
     
Item 10.   Certification
    Not applicable

PAGE 4 OF 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.

         
Date: February 6, 2004   DOUGLAS S. SCHATZ &
JILL E. SCHATZ FAMILY TRUST
         
    By:   /s/ Douglas S. Schatz, Trustee
         
    By:   /s/ Jill E. Schatz, Trustee

PAGE 5 OF 5

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