4 1 advanced.txt FORM 4 OMB APPROVAL ---------------------------------------- OMB Number: 3235-0287 Expires: December 31, 2001 Estimated average burden hours per response. . . . . . . . . 0.5 ---------------------------------------- FORM 4 / / Check this box if no longer subject to Section 16. Form 4 or Form 5 obligation may continue. See instruction 1(b). UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person General Electric Company 3135 Easton Turnpike Fairfield, CT 06431 2. Issuer Name and Ticker or Trading Symbol Advanced Lighting Technologies, Inc. (ADLT) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year December 2000 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director (x) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. Individual or Joint/Group Filing (Check Applicable Line) (x) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security 2. Trans- 3. Trans- 4. Securities 5. Amount of 6. Ownership 7. Nature of (Instr. 3) action action Acquired (A) or Secur- Form: Indirect Date Code Disposed of (D) ities Direct (D) Beneficial (Month/ (Instr. (Instr. 3, 4 Benefici- or Ownership Day/ 8) and 5) ally Indirect (Instr. 4) Year) Owned at (I) End of (Instr. 4) Month (Instr. 3 and 4) Code V Amount (A) or (D) Price Common Shares, $.001 par value 12/18/2000 C 998,703 A Note 1 1,429,590 I Note 2
Reminder: Report on a separate line for each class of securities benefically owned directly or indirectly. Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative 2. Conversion 3. Transaction 4. Transaction 5. Number of 6. Date Security or Exercise Date Code Derivative Exercisable (Instr. 3) Price of (Month/ (Instr. 8) Securities and Derivative Day/Year) Acquired (A) Expiration Security or Disposed Date of (D) (Month/ (Instr. 3, 4, Day/Year) and 5) ---------------- Code V (A) (D) Date Expira- Exer- tion cisable Date ---------------------- --------------- -------------- ------- ------ ----- ---- ------- -------- Series A1 Warrants to $0.01 per share 12/18/2000 M 1 Immed- 9/30/2009 Purchase Common Shares iate of Advanced Lighting Technologies, Inc.
Table II (continued)
7. Title and Amount 8. Price of Derivative 9. Number of Derivative 10. Ownership Form of 11. Nature of Indirect of Underlying Securities Security (Instr. 5) Securities Beneficially Derivative Security Beneficial Ownership Owned at End of Month Direct (D) or Indirect (I) (Instr. 4) (Instr. 4) (Instr. 4) Title Amount or Number of Shares Common Shares, 1,000,000 $5,000,000 0 I Note 2 $.001 par value
Explanation of Responses: Note 1: The securities were acquired pursuant to the exercise of a warrant to acquire 1,000,000 Common Shares at an exercise price of $0.01 per share. Pursuant to the terms of the warrant, the reporting person acquired the securities by surrendering to the issuer the right to receive that number of Common Shares having an aggregate current market price equal to the aggregate exercise price. Note 2: Securities held by wholly owned subsidiary. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Robert E. Healing January 9, 2001 ------------------------------- --------------- **Signature of Reporting Person Date