<PAGE> 1
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2)*
ADVANCED LIGHTING TECHNOLOGIES, INC.
------------------------------------
(Name of Issuer)
COMMON STOCK, $.001 par value
-----------------------------
(Title of Class of Securities)
00753C 10 2
-----------
(CUSIP Number)
Gerald W. Cowden, Esq., 3500 Terminal Tower, Cleveland, Ohio 44113;
(216) 241-2880
- --------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
June , 1996
------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(b)(3) or (4), check the following box. |_|
Check the following box if a fee is being paid with the statement. |_| (A fee is
not required only if the reporting 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.)
NOTE: Six copies of this statement, including all exhibits, should be filed with
the Commission. See Rule 13d-1(a) for other parties to whom copies are to be
sent.
- -----------------------------------
*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).
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<S> <C>
SCHEDULE 13D
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Wayne R. Hellman
- ------------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) /X/
Original and Amendment No. 1 Text: Mr. Hellman affirms himself to be a member of a group only to
the extent that he is the Voting Trustee under a Voting Trust dated October 10, 1995.
Amendment No. 2 Text: Mr. Hellman affirms himself to be a member of a group only to the extent that
he is the Voting Trustee under a Voting Trust dated October 10, 1995. Additionally, Mr. Hellman is
the holder of the proxies (defined herein below).
- ------------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Original text: Not Applicable; Not applicable to Amendments No. 1 and No. 2, which report a DECREASE
in the number of shares beneficially owned.
- ------------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e)
/ /
Original, Amendments No. 1 and No. 2 Text: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Original, Amendments No. 1 and No. 2 Text: United States
- ------------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF Original: 6,394,591
SHARES Amendment No. 1: 6,130,316
BENEFICIALLY OWNED BY EACH Amendment No. 2: 6,130,316
REPORTING ----------------------------------------------------------------------------------
PERSON 8 SHARED VOTING POWER
WITH Original, Amendment No. 1 and No. 2: 0
----------------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
Original: 3,125,153
Amendment No. 1: 2,979,501
Amendment No. 2: 2,599,501
----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
Original, Amendment No. 1 and No. 2: 0
- ------------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Original: 6,394,591
Amendment No. 1: 6,130,316
Amendment No. 2: 6,130,316
- ------------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
- ------------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Original: 59.7%
Amendment No. 1: 57.2%
Amendment No. 2: 56.9%
- ------------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
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<TABLE>
<CAPTION>
<S> <C>
SCHEDULE 13D
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
David L. Jennings (as a member of the Voting Trust group)
- ------------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- ------------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e) / /
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Original, Amendments No. 1 and No. 2: United States
- ------------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF Original, Amendments No. 1 and No. 2: 0
SHARES --------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING Original, Amendments No. 1 and No. 2: 0
PERSON --------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
Original: 858,145 Amendments No. 1 and No. 2: 818,150
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
Original, Amendments No. 1 and No. 2: 0
- ------------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Original: 858,145
Amendments No. 1 and No. 2: 818,150
- ------------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
- ------------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Original: 8.0%
Amendments No. 1 and No. 2: 7.6%
- ------------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
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<TABLE>
<CAPTION>
SCHEDULE 13D
<S> <C>
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Louis S. Fisi (as a member of the Voting Trust group)
- ------------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- ------------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e) / /
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Original, Amendments No. 1 and No. 2: United States
- ------------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF Original, Amendments No. 1 and No. 2: 0
SHARES --------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING Original, Amendments No. 1 and No. 2: 0
PERSON --------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
Original: 657,112 Amendments No. 1 and No. 2: 622,758
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Original: 657,112
Amendments No. 1 and No. 2: 622,758
- ------------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
Original, Amendments No. 1 and No. 2: Mr. Fisi disclaims beneficial ownership of 80,000 shares
owned by his adult children and step-children.
- ------------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Original: 6.1%
Amendments No. 1 and No. 2: 5.7%
- ------------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
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<TABLE>
<CAPTION>
<S> <C>
SCHEDULE 13D
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Robert S. Roller (as a member of the Voting Trust group)
- ------------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- ------------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e) / /
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Original, Amendments No. 1 and No. 2: United States
- ------------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF Original, Amendments No. 1 and No. 2: 0
SHARES --------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING Original, Amendments No. 1 and No. 2: 0
PERSON --------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
Original: 419,754 Amendments No. 1 and No. 2: 396,420
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Original: 419,754
Amendments No. 1 and No. 2: 396,420
- ------------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
Original, Amendments No. 1 and No. 2: Mr. Roller disclaims beneficial ownership of 80,914 shares
owned by six trusts for the benefit of his children.
- ------------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Original: 3.9%
Amendments No. 1 and No. 2: 4.5%
- ------------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 6
<TABLE>
<CAPTION>
<S> <C>
SCHEDULE 13D
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Juris Sulcs (as a member of the Voting Trust group)
- ------------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- ------------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e) / /
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Original, Amendments No. 1 and No. 2: United States
- ------------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF Original, Amendments No. 1 and No. 2: 0
SHARES --------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING Original, Amendments No. 1 and No. 2: 0
PERSON --------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
Original: 449,299 Amendments No. 1 and No. 2: 428,359
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Original: 449,299
Amendments No. 1 and No. 2: 428,359
- ------------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
- ------------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Original: 4.2%
Amendments No. 1 and No. 2: 4.0%
- ------------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 7
<TABLE>
<CAPTION>
<S> <C>
SCHEDULE 13D
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
James F. Sarver (as a member of the Voting Trust group)
- ------------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- ------------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e) / /
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Original, Amendments No. 1 and No. 2: United States
- ------------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF Original, Amendments No. 1 and No. 2: 0
SHARES --------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING Original, Amendments No. 1 and No. 2: 0
PERSON --------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
Original, Amendments No. 1 and No. 2: 459,485
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Original, Amendments No. 1 and No. 2: 459,485
- ------------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
- ------------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Original, Amendments No. 1 and No. 2: 4.3%
- ------------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 8
<TABLE>
<CAPTION>
<S> <C>
SCHEDULE 13D
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
(AMENDMENT NO. 2)
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Christine Hellman (as a member of the Voting Trust group)
- ------------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- ------------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e) / /
Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
SHARES 0
BENEFICIALLY OWNED BY EACH --------------------------------------------------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH 0
--------------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
380,000
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
380,000
- ------------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
- ------------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.5%
- ------------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 9
<TABLE>
<CAPTION>
<S> <C>
SCHEDULE 13D
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Brian A. Hellman (as a member of the Voting Trust group)
- ------------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- ------------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e) / /
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Original, Amendments No. 1 and No. 2: United States
- ------------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF Original, Amendments No. 1 and No. 2: 0
SHARES --------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING Original, Amendments No. 1 and No. 2: 0
PERSON --------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
Original, Amendments No. 1 and No. 2: 177,523
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Original, Amendments No. 1 and No. 2: 177,523
- ------------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
- ------------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Original, Amendments No. 1 and No. 2: 1.7%
- ------------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 10
<TABLE>
<CAPTION>
<S> <C>
SCHEDULE 13D
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Lisa B. Hellman (as a member of the Voting Trust group)
- ------------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- ------------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e) / /
Original, Amendments No. 1 and No. 2: Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Original, Amendments No. 1 and No. 2: United States
- ------------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF Original, Amendments No. 1 and No. 2: 0
SHARES --------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING Original, Amendments No. 1 and No. 2: 0
PERSON --------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
Original, Amendments No. 1 and No. 2: 167,206
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Original, Amendments No. 1 and No. 2: 167,206
- ------------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
- ------------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Original, Amendments No. 1 and No. 2: 1.6%
- ------------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 11
<TABLE>
<CAPTION>
<S> <C>
SCHEDULE 13D
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
(AMENDMENTS NO. 1 AND NO. 2)
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Robert S. Roller and Patricia M. Roller, Co-Trustees of the Lisa Marie Roller Trust dated August 24,
1995 (as a member of the Voting Trust group)
- ------------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- ------------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e) / /
Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES --------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING 0
PERSON --------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
9,708
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,708
- ------------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
- ------------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9,708
- ------------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 12
<TABLE>
<CAPTION>
<S> <C>
SCHEDULE 13D
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
(AMENDMENTS NO. 1 AND NO. 2)
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Robert S. Roller and Patricia M. Roller, Co-Trustees of the Jennifer Lynn Jarrett Trust dated August 24,
1995 (as a member of the Voting Trust group)
- ------------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- ------------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(e) OR 2 (e) / /
Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES --------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING 0
PERSON --------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
9,708
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,708
- ------------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
- ------------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.001%
- ------------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 13
<TABLE>
<CAPTION>
<S> <C>
SCHEDULE 13D
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
(AMENDMENTS NO. 1 AND NO. 2)
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Robert S. Roller and Patricia M. Roller, Co-Trustees of the Kimberly Joy Roller Trust dated August 24,
1995 (as a member of the Voting Trust group)
- ------------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- ------------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e) / /
Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES --------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING 0
PERSON --------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
9,708
--------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,708
- ------------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
- ------------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.001%
- ------------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 14
<TABLE>
<CAPTION>
<S> <C>
SCHEDULE 13D
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
(AMENDMENTS NO. 1 AND NO. 2)
- ------------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Robert S. Roller, Patricia M. Roller and Lisa Marie Roller, Co-Trustees of the Lisa Marie Roller
Long-term Trust dated September 24, 1995 (as a member of the Voting Trust group)
- ------------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- ------------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e) / /
Not Applicable
- ------------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES -------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING 0
PERSON -------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
17,261
-------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
17,261
- ------------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
- ------------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.16%
- ------------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 15
SCHEDULE 13D
<TABLE>
<CAPTION>
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
<S> <C> <C> <C>
(AMENDMENTS NO. 1 and NO. 2)
- -----------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Robert S. Roller, Patricia M. Roller and Jennifer Lynn Jarrett, Co-Trustees of the Jennifer Lynn Jarrett
Long-term Trust dated September 24, 1995 (as a member of the Voting Trust group)
- -----------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- -----------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- -----------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -----------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e) / /
Not Applicable
- -----------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -----------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES -------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING 0
PERSON -------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
17,261
-------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- -----------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
17,261
- -----------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
- -----------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.16%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 16
<TABLE>
<CAPTION>
SCHEDULE 13D
<S> <C>
- --------------------------------------------------
CUSIP NO. 00753C 10 2
- --------------------------------------------------
(AMENDMENTS NO. 1 and NO. 2)
- -----------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Robert S. Roller, Patricia M. Roller and Kimberly Joy Roller, Co-Trustees of the Kimberly Joy Roller
Long-term Trust dated September 24, 1995 (as a member of the Voting Trust group)
- -----------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /X/
(b) / /
- -----------------------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- -----------------------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS
Not Applicable
- -----------------------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2 (e) / /
Not Applicable
- -----------------------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -----------------------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 0
SHARES -------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING 0
PERSON -------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
17,268
-------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- -----------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
17,268
- -----------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES / /
- -----------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.16%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 17
CUSIP NO. 00753C 10 2
SCHEDULE 13D
ITEM 1. SECURITY AND ISSUER
The class of securities to which this statement relates is
Common Stock, $.001 par value (the "Common Stock"). The name and address of the
principal executive offices of the issuer is Advanced Lighting Technologies,
Inc., 2307 E. Aurora Road, Suite One, Twinsburg, Ohio 44087 (the "Issuer").
Original Text and Amendment No. 1 Text:
--------------------------------------
ITEM 2. IDENTITY AND BACKGROUND
a. The names of the persons filing this statement are Wayne R.
Hellman ("Hellman"), and as owners of Common Stock subject
to the Voting Trust Agreement dated October 10, 1995 (the
"Voting Trust"), the following members of the Voting Trust
Group: David L. Jennings ("Jennings"); Louis S. Fisi
("Fisi"); Robert S. Roller ("Roller"); Juris Sulcs
("Sulcs"); James F. Sarver ("Sarver"); Brian A. Hellman;
Lisa B. Hellman; Robert S. Roller and Patricia M. Roller,
Co-Trustees of the Lisa Marie Roller Trust dated August 24,
1995 ("LMR Trust"); Robert S. Roller and Patricia M. Roller,
Co-Trustees of the Jennifer Lynn Jarrett Trust dated August
24, 1995 ("JLJ Trust"); Robert S. Roller and Patricia M.
Roller, Co-Trustees of the Kimberly Joy Roller Trust dated
August 24, 1995 ("KJR Trust"); Robert S. Roller, Patricia M.
Roller and Lisa Marie Roller, Co-Trustees of the Lisa Marie
Roller Long Term Trust dated September 24, 1995 ("LMR Long
Term Trust"); Robert S. Roller, Patricia M. Roller and
Jennifer Lynn Jarrett, Co- Trustees of the Jennifer Lynn
Jarrett Long Term Trust dated September 24, 1995 ("JLJ Long
Term Trust"); and Robert S. Roller, Patricia M. Roller and
Kimberly Joy Roller, Co-Trustees of the Kimberly Joy Roller
Long Term Trust dated September 24, 195 ("KJR Long Term
Trust").
b. The business address of Hellman, Fisi and Brian A. Hellman
is 2307 E. Aurora Road, Suite One, Twinsburg, Ohio 44087.
The business address of Jennings is 3000 Seneca Industrial
Parkway, Bellevue, Ohio 44811, and Roller, Sulcs and Sarver
are located at 32000 Aurora Road, Solon, Ohio 44139, and
Lisa B. Hellman's business address is 1521 Georgetown Road,
Suite 203, Hudson, Ohio 44236. The address of the LMR Trust,
JLJ Trust, KJR Trust, LMR Long Term Trust, JLJ Long Term
Trust, and KJR Long Term Trust is 8630 Tamarack Trail,
Chagrin Falls, Ohio 44023.
c. The following are the present principal occupations and
addresses of employment of the reporting persons:
<TABLE>
<CAPTION>
Name: Occupation: Address:
- ----- ----------- --------
<S> <C> <C>
Hellman Chief Executive Officer Issuer (address is specified in Item 1)
Members of the Voting Trust:
Jennings Coordinator of Pacific Rim Lighting Resources International, Inc.
Development 3000 Seneca Industrial Parkway
Bellevue, Ohio 44811
</TABLE>
<PAGE> 18
CUSIP NO. 00753C 10 2
<TABLE>
<CAPTION
<S> <C> <C> <C>
Fisi Executive Vice President, Issuer (address is specified in Item 1)
Chief Financial Officer
Roller Coordinator of Market Venture Lighting International, Inc.
Development 32000 Aurora Road
Solon, Ohio 44139
Sulcs Coordinator of Technology Venture Lighting International, Inc.
Development 32000 Aurora Road
Solon, Ohio 44139
Sarver President of Venture Lighting Venture Lighting International, Inc.
International, Inc. 32000 Aurora Road
Solon, Ohio 44139
Brian A. Hellman Strategic Planning Issuer (address is specified in Item 1)
Manager
Lisa B. Hellman Vice President of Metal Halide Technologies, Inc.
Metal Halide Technologies, Inc. 1521 Georgetown Road
Hudson, Ohio 44236
LMR Trust Not Applicable 8630 Tamarack Trail
Chagrin Falls, Ohio 44023
JLJ Trust Not Applicable 8630 Tamarack Trail
Chagrin Falls, Ohio 44023
KJR Trust Not Applicable 8630 Tamarack Trail
Chagrin Falls, Ohio 44023
LMR Long Term
Trust Not Applicable 8630 Tamarack Trail
Chagrin Falls, Ohio 44023
JLJ Long Term Trust Not Applicable 8630 Tamarack Trail
Chagrin Falls, Ohio 44023
KJR Long Term Trust Not Applicable 8630 Tamarack Trail
Chagrin Falls, Ohio 44023
d. Not applicable
e. Not applicable
f. All reporting persons are citizens of the United States of America.
</TABLE>
<PAGE> 19
CUSIP NO. 00753C 10 2
Amendment No. 2 Text:
Item 2. Identity and Background
g. The names of the persons filing this statement are Wayne R.
Hellman ("Hellman"), and as owners of Common Stock subject
to the Voting Trust Agreement dated October 10, 1995 (the
"Voting Trust") the following members of the Voting Trust
Group: David L. Jennings ("Jennings"); Louis S. Fisi
("Fisi"); Robert S. Roller ("Roller"); Juris Sulcs
("Sulcs"); James F. Sarver ("Sarver"); Christine Hellman;
Brian A. Hellman; Lisa B. Hellman; Robert S. Roller and
Patricia M. Roller, Co-Trustees of the Lisa Marie Roller
Trust dated August 24, 1995 ("LMR Trust"); Robert S. Roller
and Patricia M. Roller, Co-Trustees of the Jennifer Lynn
Jarrett Trust dated August 24, 1995 ("JLJ Trust"); Robert S.
Roller and Patricia M. Roller, Co-Trustees of the Kimberly
Joy Roller Trust dated August 24, 1995 ("KJR Trust"); Robert
S. Roller, Patricia M. Roller and Lisa Marie Roller, Co-
Trustees of the Lisa Marie Roller Long Term Trust dated
September 24, 1995 ("LMR Long Term Trust"); Robert S.
Roller, Patricia M. Roller and Jennifer Lynn Jarrett,
Co-Trustees of the Jennifer Lynn Jarrett Long Term Trust
dated September 24, 1995 ("JLJ Long Term Trust"); and Robert
S. Roller, Patricia M. Roller and Kimberly Joy Roller,
Co-Trustees of the Kimberly Joy Roller Long Term Trust dated
September 24, 195 ("KJR Long Term Trust"); additionally, the
Common Stock owned by Jennings, Fisi and Roller, which was
formerly subject to the Voting Trust, are now subject to
Irrevocable Proxies (the "Proxies"), which appoint Wayne R.
Hellman, as proxy holder, to exercise the voting rights of
all such shares of each matter submitted to the Company's
shareholders for their vote.
h. The business address of Hellman, Fisi and Brian A. Hellman
is 2307 E. Aurora Road, Suite One, Twinsburg, Ohio 44087.
The business address of Jennings is 3000 Seneca Industrial
Parkway, Bellevue, Ohio 44811, and Roller, Sulcs and Sarver
are located at 32000 Aurora Road, Solon, Ohio 44139, and
Lisa B. Hellman's business address is 1521 Georgetown Road,
Suite 203, Hudson, Ohio 44236. The address of Christine
Hellman is 17230 Red Fox Trail, Chagrin Falls, Ohio 44023.
The address of the LMR Trust, JLJ Trust, KJR Trust, LMR Long
Term Trust, JLJ Long Term Trust, and KJR Long Term Trust is
8630 Tamarack Trail, Chagrin Falls, Ohio 44023.
i. The following are the present principal occupations and
addresses of employment of the reporting persons:
<TABLE>
<CAPTION>
Name: Occupation: Address:
- ----- ----------- --------
<S> <C> <C>
Hellman Chief Executive Officer Issuer (address is specified in Item 1)
Members of the Voting Trust:
Jennings Coordinator of Pacific Rim Lighting Resources International, Inc.
Development 3000 Seneca Industrial Parkway
Bellevue, Ohio 44811
Fisi Executive Vice President, Issuer (address is specified in Item 1)
Chief Financial Officer
</TABLE>
<PAGE> 20
CUSIP NO. 00753C 10 2
<TABLE>
<CAPTION>
<S> <C> <C> <C>
Roller Coordinator of Market Venture Lighting International, Inc.
Development 32000 Aurora Road
Solon, Ohio 44139
Sulcs Coordinator of Technology Venture Lighting International, Inc.
Development 32000 Aurora Road
Solon, Ohio 44139
Sarver President of Venture Lighting Venture Lighting International, Inc.
International, Inc. 32000 Aurora Road
Solon, Ohio 44139
Christine Hellman Consultant 17230 Red Fox Trail
Chagrin Falls, Ohio 44022
Brian A. Hellman Strategic Planning Issuer (address is specified in Item 1)
Manager
Lisa B. Hellman Vice President of Metal Halide Technologies, Inc.
Metal Halide Technologies, Inc. 1521 Georgetown Road
Hudson, Ohio 44236
LMR Trust Not Applicable 8630 Tamarack Trail
Chagrin Falls, Ohio 44023
JLJ Trust Not Applicable 8630 Tamarack Trail
Chagrin Falls, Ohio 44023
KJR Trust Not Applicable 8630 Tamarack Trail
Chagrin Falls, Ohio 44023
LMR Long Term
Trust Not Applicable 8630 Tamarack Trail
Chagrin Falls, Ohio 44023
JLJ Long Term Trust Not Applicable 8630 Tamarack Trail
Chagrin Falls, Ohio 44023
KJR Long Term Trust Not Applicable 8630 Tamarack Trail
Chagrin Falls, Ohio 44023
j. Not applicable
k. Not applicable
l. All reporting persons are citizens of the United States of America.
</TABLE>
<PAGE> 21
CUSIP NO. 00753C 10 2
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Original Text:
--------------
In various mergers and exchanges, the reporting persons received
shares of Common Stock in surrender for shares of Common Stock of 17 affiliated
operating corporations (the "Predecessors") which were merged/exchanged into the
Issuer. No reporting person paid cash for the shares of Common Stock; rather,
they received such stock upon surrender of Predecessor common shares in the
mergers/exchanges.
Amendment No. 1 Text:
---------------------
Not applicable; Amendment No. 1 reports a decrease in the number of
shares of Common Stock beneficially owned.
Amendment No. 2 Text:
---------------------
Not applicable; Amendment No. 2 reports a decrease in the number of
shares of Common Stock beneficially owned.
ITEM 4. PURPOSE OF TRANSACTION
Original Text:
--------------
The "acquisition" of the Issuer's securities for the purposes of the
Securities Exchange Act of 1934, as amended (the "Act"), occurred as a result of
the registration of the Common Stock on Form 8-A having been declared effective
on December 8, 1995. All of the reporting persons acquired the Common Stock in
the mergers/exchanges as a result of their prior holdings of the Predecessors.
No reporting person has a present intention to acquire additional securities of
the Issuer. As required by a Settlement Agreement with former preferred
shareholders, the following reporting persons have transferred as of January 12,
1996, as required by a Settlement Agreement with former preferred shareholders,
to such former preferred shareholders the number of shares of Common Stock
noted:
<TABLE>
<CAPTION>
Name # Shares Transferred
---- --------------------
<S> <C>
Hellman 45,652
Jennings 39,995
Fisi 34,354
Roller 23,334
Sulcs 20,940
</TABLE>
Amendment No. 1 Text:
---------------------
No reporting person has a present intention to acquire additional
securities of the Issuer. As required by a Settlement Agreement with former
preferred shareholders, the following reporting persons have transferred as of
January 10, 1996, to such former preferred shareholders the number of shares of
Common Stock noted:
<PAGE> 22
CUSIP NO. 00753C 10 2
<TABLE>
<CAPTION>
Name # Shares Transferred
---- --------------------
<S> <C>
Hellman 145,652
The following members of
the Voting Trust:
Jennings 39,995
Fisi 34,354
Roller 23,334
Sulcs 20,940
Sarver - 0 -
Brian A. Hellman - 0 -
Lisa B. Hellman - 0 -
LMR Trust - 0 -
JLJ Trust - 0 -
KJR Trust - 0 -
LMR Long Term Trust - 0 -
JLJ Long Term Trust - 0 -
KJR Long Term Trust - 0 -
</TABLE>
Amendment No. 2 Text:
---------------------
No reporting person has a present intention to acquire additional
securities of the Issuer.
Amendment No. 2 is being reported as a result of shares of Common
Stock transferred by Hellman. No change is being reported in the beneficial
ownership of Jennings, Fisi, Roller, Sulcs, Sarver, Brian A. Hellman, Lisa B.
Hellman, LMR Trust, JLJ Trust, KJR Trust, LMR Long Term Trust, JLJ Long Term
Trust and KJR Long Term Trust.
On June 11, 1996, Hellman transferred 380,000 shares of Common Stock
to Christine Hellman pursuant to a certain separation agreement. Mr. Hellman
continues to exercise sole voting power as to such shares pursuant to the Voting
Trust, while Ms. Hellman holds dispositive power.
On June 7, 1996, Hellman, Brian A. Hellman and Lisa B. Hellman, all as
members, formed Hellman, Ltd., an Ohio limited liability company. Of all the
ownership units in Hellman, Ltd., Hellman owns 89,572 units, Brian A. Hellman
owns 17,714 units and Lisa B. Hellman owns 17,714 units. On June 10, 1996,
Hellman transferred 125,000 shares of Common Stock to Hellman, Ltd. The 125,000
shares of ADLT Common Stock owned by Hellman, Ltd. are not subject to the Voting
Trust. Because Hellman owns more than 50% of the units of Hellman, Ltd., Hellman
will continue to have sole control of voting and dispositive power for those
125,000 shares.
<PAGE> 23
CUSIP NO. 00753C 10 2
Item 5. Interest in Securities of the Issuer
Original Text:
--------------
a. and b. The following lists the aggregate number and percentage of
shares of Common Stock beneficially owned by the named persons. Percentages are
calculated based on the number of outstanding shares as of February 12, 1996:
<TABLE>
<CAPTION>
Name Aggregate # Shares % # Shares Sole # Shares Sole Power
- ---- ------------------ - ------------- -------------------
Power to Vote to Dispose
------------- ----------
<S> <C> <C> <C> <C>
Hellman 6,394,591 (includes 59.7% 6,394,591 3,125,153
3,125,153 shares
owned in his indiv-
idual capacity)
Jennings* 858,145 8.0% 0 858,145
Fisi* 657,112 6.1% 0 657,112
Sarver* 459,485 4.3% 0 459,485
Sulcs* 449,299 4.2% 0 449,299
Roller* 419,754 3.9% 0 419,754
Brian Hellman* 177,523 1.7% 0 177,523
Lisa Hellman* 167,206 1.6% 0 167,206
</TABLE>
* These persons constitute members of a group as a result of their
transfer of such shares to the Voting Trust.
None of the above persons shares voting or dispositive power with
respect to any shares.
c. Not applicable
d. Not applicable
e. Not applicable
Amendment No. 1 Text:
--------------------
a. and b. The following lists the aggregate number and percentage of
shares of Common Stock beneficially owned by the named persons. Percentages are
calculated based on the number of outstanding shares as of February 12, 1996:
<PAGE> 24
CUSIP NO. 00753C 10 2
<TABLE>
<CAPTION>
Name Aggregate # Shares % # Shares Sole # Shares Sole Power
- ---- ------------------ - ------------- -------------------
Power to Vote to Dispose
------------- ----------
<S> <C> <C> <C> <C>
Hellman 6,130,316 (includes 57.2% 6,130,316 2,979,501
2,979,501 shares
owned in his indiv-
idual capacity)
Jennings* 818,150 7.6% 0 818,150
Fisi* 622,758 5.8% 0 622,758
Sarver* 459,485 4.3% 0 459,485
Sulcs* 428,359 4.0% 0 428,359
Roller* 396,420 3.7% 0 396,420
Brian Hellman* 177,523 1.7% 0 177,523
Lisa Hellman* 167,206 1.6% 0 167,206
LMR Trust* 9,708 0.001% 0 9,708
JLJ Trust* 9,708 0.001% 0 9,708
KJR Trust* 9,708 0.001% 0 9,708
LMR Long
Term Trust* 17,261 .16% 0 17,261
JLJ Long
Term Trust* 17,261 .16% 0 17,261
KJR Long
Term Trust* 17,268 .16% 0 17,268
</TABLE>
Amendment No. 2 Text:
--------------------
a. and b. The following lists the aggregate number and percentage of
shares of Common Stock beneficially owned by the named persons. Percentages are
calculated based on the number of outstanding shares as of May 20, 1996:
<TABLE>
<CAPTION>
Name Aggregate # Shares % # Shares Sole # Shares Sole Power
- ---- ------------------ - ------------- -------------------
Power to Vote to Dispose
------------- ----------
<S> <C> <C> <C> <C>
Hellman 6,130,316 (includes 56.9% 6,130,316 2,599,501
2,599,501 shares
owned in his indiv-
idual capacity)
</TABLE>
<PAGE> 25
CUSIP NO. 00753C 10 2
<TABLE>
<CAPTION>
<S> <C> <C> <C> <C>
Jennings* 818,150 7.6% 0 818,150
Fisi* 622,758 5.8% 0 622,758
Sarver* 459,485 4.3% 0 459,485
Sulcs* 428,359 4.0% 0 428,359
Roller* 396,420 3.7% 0 396,420
Christine Hellman* 380,000 3.5% 0 380,000
Brian Hellman* 177,523 1.6% 0 177,523
Lisa Hellman* 167,206 1.6% 0 167,206
LMR Trust* 9,708 0.09% 0 9,708
JLJ Trust* 9,708 0.09% 0 9,708
KJR Trust* 9,708 0.09% 0 9,708
LMR Long
Term Trust* 17,261 .16% 0 17,261
JLJ Long
Term Trust* 17,261 .16% 0 17,261
KJR Long
Term Trust* 17,268 .16% 0 17,268
</TABLE>
* These persons constitute members of a group as a result of their
transfer of such shares to the Voting Trust.
None of the above persons shares voting power with respect to any
shares.
c. Other than the transfer of shares described in Item 4, no
transactions were effected since the most recent filing on
Schedule 13D.
d. Not applicable
e. Not applicable
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
Original Text:
--------------
Pursuant to the Voting Trust, Hellman is voting trustee of the shares
of Common Stock owned by Jennings, Fisi, Roller, Sulcs, Sarver, Brian Hellman
and Lisa Hellman.
<PAGE> 26
CUSIP NO. 00753C 10 2
Amendment No. 1 Text:
--------------------
Pursuant to the Voting Trust, Hellman is voting trustee of the shares
of Common Stock owned by Jennings, Fisi, Roller, Sulcs, Sarver, Brian Hellman,
Lisa Hellman, LMR Trust, JLJ Trust, KJR Trust, LMR Long Term Trust, JLJ Long
Term Trust, and KJR Long Term Trust.
Amendment No. 2 Text:
--------------------
Pursuant to the Voting Trust, Hellman is voting trustee of the shares
of Common Stock owned by Sulcs, Sarver, Christine Hellman, Brian Hellman, Lisa
Hellman, LMR Trust, JLJ Trust, KJR Trust, LMR Long Term Trust, JLJ Long Term
Trust, and KJR Long Term Trust; and pursuant to the Proxies, Mr. Hellman has the
power to vote all stock owned by Fisi, Roller and Jennings.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Original Text:
--------------
a. Voting Trust Agreement
Amendment No. 1 Text:
---------------------
a. Voting Trust Agreement - previously filed on the original
Schedule 13D
Amendment No. 2 Text:
---------------------
a. Form of Voting Trust Agreement, as amended Exhibit 9.1
b. Form of the Proxies Exhibit 9.2
(SIGNATURES ON FOLLOWING PAGES.)
<PAGE> 27
Signatures
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this Schedule 13D statement
is true, complete and correct.
Date: June 18, 1996 /s/ Wayne R. Hellman
WAYNE R. HELLMAN*
Date: June 18, 1996 /s/ David L. Jennings
DAVID L. JENNINGS**
Date: June 14, 1996 /s/ Louis S. Fisi
LOUIS S. FISI**
Date: June 18, 1996 /s/ Robert S. Roller
ROBERT S. ROLLER**
Date: June 18, 1996 /s/ Juris Sulcs
JURIS SULCS**
Date: June 18, 1996 /s/ James F. Sarver
JAMES F. SARVER**
Date: June 18, 1996 /s/ Christine Hellman
CHRISTINE HELLMAN**
Date: June 18, 1996 /s/ Brian A. Hellman
BRIAN A. HELLMAN**
Date: June 18, 1996 /s/ Lisa B. Hellman
LISA B. HELLMAN**
(Signatures continued on following page.)
- --------------------------
* Member of Voting Trust group only as to certain shares of which Hellman is
voting trustee.
** Member of the Voting Trust group.
<PAGE> 28
(Signatures continued)
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this Schedule 13D statement
is true, complete and correct.
<TABLE>
<CAPTION>
<S> <C>
Date: June 18, 1996 /s/ Robert S. Roller
ROBERT S. ROLLER AS CO-TRUSTEE OF THE LISA
MARIE ROLLER TRUST DATED AUGUST 24, 1995**
Date: June 18, 1996 /s/ Robert S. Roller
ROBERT S. ROLLER AS CO-TRUSTEE OF THE
JENNIFER LYNN JARRETT TRUST DATED AU-
GUST 24, 1995**
Date: June 18, 1996 /s/ Robert S. Roller
ROBERT S. ROLLER AS CO-TRUSTEE OF THE
KIMBERLY JOY ROLLER TRUST DATED AUGUST
24, 1995**
Date: June 18, 1996 /s/ Robert S. Roller
ROBERT S. ROLLER CO-TRUSTEE FOR THE LISA
MARIE ROLLER LONG TERM TRUST DATED
SEPTEMBER 24, 1995**
Date: June 18, 1996 /s/ Robert S. Roller
ROBERT S. ROLLER, CO-TRUSTEE FOR THE
JENNIFER LYNN JARRETT LONG TERM TRUST
DATED SEPTEMBER 24, 1995**
Date: June 18, 1996 /s/ Robert S. Roller
ROBERT S. ROLLER, CO-TRUSTEE OF THE
KIMBERLY JOY ROLLER LONG TERM TRUST
DATED SEPTEMBER 24, 1995**
<FN>
- --------------------------
* Member of Voting Trust group only as to certain shares of which Hellman is
voting trustee.
** Member of the Voting Trust group.
</TABLE>
<PAGE> 1
EXHIBIT 9.1
VOTING TRUST AGREEMENT
THIS VOTING TRUST AGREEMENT, made and entered into at Solon,
Ohio, as of the _____ day of October, 1995 by and between WAYNE R. HELLMAN as
voting trustee (the "Voting Trustee") of the voting trust created by this
Agreement, and such owners of common stock, $.001 par value, of ADVANCED
LIGHTING TECHNOLOGIES, INC., an Ohio corporation (the "Company") whose names are
listed on Exhibit "A" attached hereto (hereinafter sometimes separately referred
to as a "Shareholder" and collectively as the "Shareholders").
W I T N E S S E T H:
WHEREAS, the Shareholders desire that all of their shares of
stock of the Company, now or hereafter acquired, excluding shares of stock
purchased by a Shareholder from any other holder of shares of stock of the
Company except those individuals named on Exhibit "A" (the "Shares") be subject
to the terms of this Voting Trust Agreement;
WHEREAS, the Shareholders are the owners of the number of
shares of common stock, $.001 par value, of the Company (the "Shares"), set
forth opposite their names on the counterpart signature pages to this Agreement
executed by such Shareholders;
WHEREAS, the Shareholders desire that all of the Shares be
made subject to the terms and conditions of this Agreement; and
WHEREAS, the Shareholders deem this Agreement to be in the
best interest of the Company and all of the Shareholders.
NOW, THEREFORE, the parties hereto agree as follows:
1. DEPOSIT OF VOTING SHARES; ISSUANCE OF VOTING TRUST
CERTIFICATES.
(a) The Shareholders agree to forthwith deposit with the
Voting Trustee the certificate(s) evidencing all of the Shares owned by each
such Shareholder (the "Share Certificates"), duly endorsed for transfer to the
Voting Trustee or accompanied by proper instruments duly executed to effect the
transfer of such Shares to the Voting Trustee, and to accept in exchange
therefor a Voting Trust Certificate representing the number of Shares deposited
by such Shareholder.
(b) Upon receipt of the Share Certificates, the Voting Trustee
shall cause to be issued and delivered to each Shareholder a Voting Trust
Certificate, substantially in the form of Exhibit "B" with the blanks therein
appropriately completed, representing the number of Shares evidenced by the
Share Certificates deposited by each Shareholder. Voting Trust Certificates
issued upon the transfer of, in exchange for, or in addition to such Voting
Trust Certificates, as provided in this Agreement, shall be substantially in the
form attached hereto as Exhibit "B" with such appropriate variations, omissions,
and insertions as may be required.
2. ISSUANCE OF VOTING SHARES TO THE VOTING TRUSTEE. The Voting
Trustee shall cause all Share Certificates deposited with him pursuant to
Section 1 above to be surrendered to and cancelled by the Company, and shall
cause the Company to issue and deliver to the Voting Trustee new share
certificates representing the Shares in the name of the Voting Trustee, as
voting trustee, which shall contain a legend stating that the Share Certificates
are issued pursuant and subject to the provisions of this Agreement. The
Company's stock ledger and journal shall indicate that such share certificates
are subject to the provisions of this Agreement.
<PAGE> 2
Except as herein provided, all share certificates issued and delivered to the
Voting Trustee pursuant to this Section 2 shall at all times be and remain in
the possession of the Voting Trustee or a depository designated by the Voting
Trustee. The Voting Trustee shall not transfer any certificates representing
Shares other than as provided in this Agreement.
3. RECORDS OF VOTING TRUST CERTIFICATES.
(a) RECORDS. The Voting Trustee shall keep or cause to be kept
books of record of all Voting Trust Certificates issued pursuant to this
Agreement, and shall also fix and determine a place at which such books of
record shall be kept and at which Voting Trust Certificates may be transferred.
(b) INSPECTION OF RECORDS OF VOTING TRUST CERTIFICATES. Any
owner of a Voting Trust Certificate shall have the right to inspect the books of
record of the Voting Trust Certificates to be maintained by the Voting Trustee
pursuant to subsections (a) of this Section at the place at which such records
are kept at any reasonable time.
4. TRANSFER OF VOTING TRUST CERTIFICATES.
(a) All transfers of Voting Trust Certificates shall be
recorded on the books of record kept by the Voting Trustee. The Voting Trustee
may treat the record holder of the respective Voting Trust Certificates as the
absolute owner thereof for all purposes whatsoever and shall not be bound to
recognize any equitable interest in or claim to any such Voting Trust
Certificate or the Shares represented thereby on the part of any other party
until transferred on such books of record. The Voting Trustee shall not be
required to make any transfer of a Voting Trust Certificate upon such books of
record except upon surrender of a Voting Trust Certificate to be transferred,
properly assigned in such form as shall be acceptable to the Voting Trustee,
accompanied by such evidence as the Voting Trustee may reasonably require as to
the authority of any person other than the record holder thereof who may seek to
effect any such transfer and as to the genuineness of the appropriate
signatures. Upon each such transfer, the Voting Trust Certificates surrendered
for transfer shall be cancelled and the Voting Trustee shall issue a new Voting
Trust Certificate to the transferee and the transferee shall, by acceptance
thereof, assent to the terms and conditions of this Agreement. Any such
transferee shall be required to execute a supplemental copy of this Agreement.
(b) REPLACEMENT OF VOTING TRUST CERTIFICATES. In the event any
Voting Trust Certificate shall become mutilated, lost, or destroyed, the Voting
Trustee, under such conditions with respect to indemnity or otherwise as he, in
his discretion, may prescribe, may provide for the issuance of a new Voting
Trust Certificate in lieu of such lost or destroyed Voting Trust Certificate or
in exchange for such mutilated Voting Trust Certificate.
5. POWERS AND DUTIES OF VOTING TRUSTEE.
(a) RIGHT TO VOTE. The Voting Trustee shall be entitled to
exercise all shareholder rights of the Shareholders in respect of the Shares,
including, but not limited to, the right to exercise the voting rights of such
Shares on each matter submitted to the Company's shareholders for their vote,
consent, waiver, release, or other action and the right to take part in any
corporate or shareholders' action of the Company, whether ordinary or
extraordinary, by proxy or otherwise. The right of the Voting Trustee to
exercise the voting rights of the Shares in accordance with the terms hereof
includes, but is not limited to, the exercise of voting rights relating to
fixing the number and the election of directors of the Company, the changing of
the Company's capital structure, the amendment of the Company's Articles
of Incorporation or Code of Regulations, the reclassification of the Shares, the
purchase of assets by the Company, and the merger, consolidation, liquidation or
dissolution of the Company. The owners of Voting Trust Certificates shall not
have any right under such
- 2 -
<PAGE> 3
Voting Trust Certificates or under this Agreement or otherwise, to exercise the
voting rights of such Shares or to take part in any corporate or shareholders'
action or to do or perform any act or thing that shareholders of the Company
are now or may hereafter become entitled to do or to perform, for so long as
the Shares owned by each such Shareholder are held by the Voting Trustee,
except to receive cash dividends and distributions when declared and paid and
to review the books and records of the Company during normal business hours.
Notwithstanding anything to the contrary, the Voting Trustee shall not have the
right to sell or otherwise transfer the Shares of any Shareholder.
(b) DISCRETION OF VOTING TRUSTEE. In exercising the voting
rights of the Shares, or in doing any act with respect to the control or
management of the Company or its affairs, or otherwise acting hereunder, the
Voting Trustee shall be free to exercise his full discretion. Notwithstanding
anything to the contrary, the Voting Trustee shall not have the right to sell or
otherwise transfer the Shares of any Shareholder.
(c) ACTING AS DIRECTOR OR OFFICER. The Voting Trustee or any
representative of the Voting Trustee may act as a director, an officer or an
employee of the Company and may vote for himself as such and may have an
ownership interest in the Company. The Voting Trustee or any person with whom or
which he may be associated, or any entity of which he may be a member, or any
corporation of which he may be a shareholder, director, or officer, may contract
with the Company or otherwise have a financial interest in any matter or
transaction to which the Company may be a party or in which the Company may be
in any way concerned, as though he were not Voting Trustee, but otherwise
subject to law.
(d) COMPENSATION. The Voting Trustee shall serve without
compensation. The Voting Trustee shall be reimbursed for all reasonable
expenses, disbursements and advances incurred or made by the Voting Trustee in
performance of his duties hereunder. The owners of the Voting Trust Certificates
agree to reimburse and indemnify the Voting Trustee for all reasonable claims,
expenses, and liabilities incurred by him in connection with the discharge of
his duties under this Agreement. Any such claims, expenses, or liabilities shall
be charged to the Voting Trust Certificate owners, pro rata, and may be deducted
from dividends or other distributions to them, or may be made a charge payable
as a condition to the delivery of Share Certificates following the surrender to
the Voting Trustee of the Voting Trust Certificates, and the Voting Trustee
shall be entitled to a lien therefor on the Shares, funds, or other property in
his possession. The Voting Trustee shall disclose in reasonable detail on an
annual basis, all reimbursements received for reasonable expenses,
disbursements, advances incurred or made by the Voting Trustee in performance of
his duties hereunder.
(e) IMMUNITIES OF THE VOTING TRUSTEE. The Voting Trustee shall
incur no responsibility in his capacity as voting trustee, as a shareholder, or
otherwise, by reason of any error of judgment or mistake of law or other
mistake, for any act or omission of any agent or attorney, for any
misconstruction of this Agreement, or for any action of any sort taken or
omitted hereunder or believed by him to be in accordance with the provisions and
intent hereof or otherwise, except solely for his own individual willful
misconduct. In the discharge of his duties hereunder, the Voting Trustee shall
be fully protected in acting in reliance upon any instrument, document, or paper
believed by him to be genuine and to have been executed by the proper parties;
and, shall likewise be fully protected in issuing any Voting Trust Certificate
or in taking or refraining from taking any action hereunder in reliance upon any
certificate or certificates purporting to be duly signed, as to the existence or
non-existence of any fact or facts or the performance or non-performance of any
act or acts, and may accept as conclusive any statement made in any such
certificate. The Voting Trustee shall not be required to give bond or security
for the discharge of his duties under this Agreement. The Voting Trustee, may
in his discretion, consult with counsel to be selected by him and shall incur
no liability in respect of any action taken on the advice of any such counsel.
- 3 -
<PAGE> 4
(f) DIVIDENDS. The record owner of each Voting Trust
Certificate shall be entitled to receive his pro rata share of any dividends
paid or distributed by the Company upon the Shares represented by the Voting
Trust Certificates and all other corporate distributions made by the Company in
respect of such Voting Shares; provided, however, that, if any such dividend or
distribution includes shares of capital stock of the Company with voting rights,
the certificates representing such shares of stock shall be deposited with the
Voting Trustee subject to the terms of this Agreement, and the owner of the
Voting Trust Certificate evidencing the Shares upon which such dividend or
distribution is made shall be entitled to receive new Voting Trust Certificates
representing such newly-deposited shares of capital stock with voting rights.
The record date fixed by the Company for the purpose of the
payment of any dividend or for the making of any other distribution shall be the
record date for the purpose of payment or distribution to the owners of Voting
Trust Certificates, and whenever any such record date shall be fixed, the owners
of record of Voting Trust Certificates at the date so fixed shall exclusively be
entitled to participate in the payment or distribution. Upon receipt by the
Voting Trustee of any dividend or other distribution in respect of any Shares
held by the Voting Trustee, the Voting Trustee shall promptly distribute the
funds or property so received by him to the owners of Voting Trust Certificates
to whom such funds or property should have been distributed by the Company if
the foregoing provisions hereof had been observed.
Notwithstanding the foregoing provisions of this Section 5, if
the Company shall reclassify its Shares, reorganize, sell all or substantially
all of its assets with or without dissolution, consolidate with or merge into
another corporation, or if another corporation shall merge into the Company, the
shares of capital stock into which the Shares then on deposit hereunder shall be
reclassified and any shares of capital stock issued in exchange or substitution
for the Shares then on deposit hereunder shall, if they are non-voting shares,
be distributed in accordance with the provisions of this Agreement directly to
the record owners of outstanding Voting Trust Certificates, issued in respect of
such Shares; or, if they are voting shares, they shall become subject to the
terms and conditions of this Agreement as if such voting shares had been
originally deposited hereunder, and shall be deposited with the Voting Trustee,
and the owner of outstanding Voting Trust Certificates shall be entitled to
receive new Voting Trust Certificates representing such newly deposited shares
of capital stock with voting rights.
(g) DEDUCTIONS FOR DISTRIBUTIONS. There shall be deducted and
withheld from every distribution of every kind under this Agreement any taxes,
assessments, or other charges that may be required by law to be deducted or
withheld, as well as expenses and charges incurred pursuant to Section 5(e), to
the extent that the expenses and charges remain unpaid or unreimbursed.
6. RESIGNATION OF VOTING TRUSTEE.
(a) RESIGNATION OF VOTING TRUSTEE. The Voting Trustee may at
any time resign by delivering to the owners of the Voting Trust Certificates his
resignation in writing, to take effect not less than ten (10) days after
delivery. Upon the resignation of the Voting Trustee, this Agreement shall
terminate.
(b) DEATH OR DISABILITY OF VOTING TRUSTEE. The rights and
duties of the Voting Trustee shall terminate on his death or disability and no
interest in any of the property owned or held hereunder nor any of the rights or
duties of the Voting Trustee may be transferred by will, devise, succession, or
in any manner, except as provided in this Agreement. The heirs, administrators,
and executors of the Voting Trustee shall, however, have the right and absolute
duty to convey any property held by the Voting Trustee to the Shareholders
promptly upon termination of this Agreement. For purposes of this Agreement,
disability shall mean the inability of the Voting Trustee to perform
satisfactorily his duties hereunder for a period of 120 days in the aggregate
out of 150 consecutive days as a result of a physical or mental illness or other
disability, which,
- 4 -
<PAGE> 5
in the written opinion of a physician resident of recognized ability and
reputation, makes it highly likely that such illness or disability will
continue for a significant period of time.
(c) SHARE OWNERSHIP OF VOTING TRUSTEE; EXECUTIVE OFFICER. The
rights and duties of the Voting Trustee shall terminate in the event that the
Voting Trustee (i) no longer owns at least ten percent of the issued and
outstanding shares of stock of the Company or (ii) is no longer an executive
officer and director of the Company.
7. TERMINATION.
(a) DURATION. Except as otherwise provided in Sections 6(a),
(b) and (c), 7(b) and (c), this Agreement shall terminate on the earlier of: (i)
September 30, 2005; or (ii) the date upon which all of the Shares are acquired
by the Company and/or any shareholders of the Company that are not a party to
this Agreement.
(b) TERMINATION BY VOTING TRUSTEE. This Agreement may, at any
time, be terminated by the Voting Trustee. Written notice of such termination
shall be given by the Voting Trustee to all of the owners of the outstanding
Voting Trust Certificates pursuant to the provisions of Section 7 of this
Agreement. Such notice shall specify the time and manner of delivery of
certificates representing Shares following the surrender and cancellation of the
respective Voting Trust Certificates as described in Section 7(d) below.
(c) TERMINATION BY SHAREHOLDER. In the event a Shareholder
desires to transfer his Shares, this Agreement may be terminated with respect to
such Shares and such Shares shall not be subject to the restrictions contained
herein provided such shares to be transferred are either registered or are
exempt from registration under the Securities Act of 1933, as amended, and such
transfer is made in accordance with any agreements entered into by the Company
or the Shareholder with any underwriters which may restrict the transfer of such
shares for certain periods of time.
(d) OBLIGATIONS OF VOTING TRUSTEE UPON TERMINATION. Upon the
termination of this Agreement, the owners of the Voting Trust Certificates shall
surrender their respective Voting Trust Certificates to the Voting Trustee or,
upon the Voting Trustee's death or disability, the Secretary of the Company who
shall deliver to the Company the certificates representing Shares, and the
Secretary of the Company shall then issue certificates representing the Shares
to the appropriate respective owners of the Voting Trust Certificates. If, at
the expiration of four months after termination of this Agreement, any Voting
Trust Certificate shall not have been surrendered to the Voting Trustee he may,
in his discretion, and if acceptable to the Secretary of the Company, deliver
the certificates representing such Shares to the Secretary of the Company to be
held by the Company for the owners of any such Voting Trust Certificates to be
delivered to such owners upon surrender of their respective Voting Trust
Certificates, whereupon all responsibilities of the Voting Trustee with respect
thereto shall cease; provided, however, if the Voting Trustee shall have died or
become disabled, the shares shall be held by the Company for the owners of any
such Voting Trust Certificates to be delivered to such owners upon surrender of
their respective Voting Trust Certificates whereupon all responsibilities of
the Company with respect thereto shall cease. Notwithstanding the termination
of this Agreement, the Voting Trustee or upon the Voting Trustee's death or
disability, the Secretary shall thereafter have the power to take or cause to
be taken such further and other action as he may deem necessary or desirable to
conclude promptly the duties imposed upon him in this Agreement; provided
however, that after the termination of this Agreement, he shall have no
authority to exercise any voting rights of the Shares.
- 5 -
<PAGE> 6
8. NOTICE.
(a) NOTICE TO OWNERS OF VOTING TRUST CERTIFICATES. All notices
to be given to owners of Voting Trust Certificates may be given by personally
delivering or mailing the same to such record owners at the last addresses
furnished in writing by such owners to the Voting Trustee, and any notice when
so delivered or mailed shall be considered as served on the respective owners of
Voting Trust Certificates.
(b) NOTICE TO VOTING TRUSTEE. Any notice required or permitted
to be given hereunder to the Voting Trustee shall be given by personally
delivering or mailing the same to Wayne R. Hellman, 2307 E. Aurora Road, Suite
One, Twinsburg, Ohio 44087 or such other address as shall be furnished in
writing by the Voting Trustee to the owners of Voting Trust Certificates.
9. PAYMENT OF TAXES. If at any time any tax is payable by the
Voting Trustee in respect of the ownership of the Voting Shares held by him or
in respect of any dividends, distributions, or other rights in respect of the
Shares, the tax may be paid out of any assets of the Voting Trust created by
this Agreement or any dividends or distributions received by the Voting Trustee;
provided, however, that the Voting Trustee shall be fully reimbursed by the
Shareholders, on a pro rata basis based upon Share ownership, for any such
payments by the Voting Trustee not satisfied out of the assets of the Voting
Trust or dividends or distributions received by the Voting Trustee.
10. AMENDMENT. If, at any time, the Voting Trustee shall deem
it desirable to amend this Agreement in any respect he shall submit such
amendment to the owners of the outstanding Voting Trust Certificates for their
approval at a meeting of such holders which shall be called for that purpose.
The notice, which shall be in writing and be given at least fifteen (15) days
prior to the proposed meeting, shall state that the purpose of the meeting is to
consider the amendment of this Agreement and shall be accompanied by a copy of
the proposed amendment. If at such meeting the proposed amendment or any
modification thereof shall be approved by the owners of a majority in interest
of the outstanding Voting Trust Certificates based on the number of Shares
represented by such Voting Trust Certificates, a certificate to that effect
shall be made and verified by a Secretary elected at such meeting and filed with
the Voting Trustee. Upon such approval and the filing of said certificate with
the books of record kept by the Voting Trustee, the proposed amendment or
modification thereof shall become a part of this Agreement with like force and
effect as if originally incorporated herein. In the event that any Shareholder
acquires additional shares of the Company (excluding shares of stock purchased
by a Shareholder from any other holder of shares of stock of the Company except
those individuals named on Exhibit "A") subsequent to the date hereof, the
Voting Trustee shall be authorized to modify.
11. MISCELLANEOUS.
(a) ACCEPTANCE BY VOTING TRUSTEE. The Voting Trustee
accepts the trust hereunder and agrees to perform the same upon the terms and
conditions hereof.
(b) PARTIES TO AGREEMENT. This Agreement shall be binding upon
and shall operate for the benefit of the Shareholders and the Voting Trustee and
their respective heirs, estates, personal representatives, successors and
permitted assigns, and shall be binding upon any transferee of Shares or Voting
Trust Certificates from a Shareholder. Subject to the terms of Section 7(c), the
name of any transferee of Shares or Voting Trust Certificates from a Shareholder
shall be added or be deemed to be added to the attached Exhibit "A" and such
persons shall be considered Shareholders for purposes of this Agreement.
(c) ENTIRE AGREEMENT. This Agreement contains the entire
understanding among the parties and supersedes any prior understanding and
agreements between them respecting the within subject matter
- 6 -
<PAGE> 7
hereof. There are no representations, agreements, arrangements, or
understandings, oral or written, between or among the parties hereto relating
to the subject matter of this Agreement which are not fully expressed herein.
(d) SURVIVAL. This Agreement shall be binding upon and inure
to the benefit of the heirs, executors, administrators successors, and assigns
of the parties hereto.
(e) COUNTERPARTS. This Agreement may be executed in one or
more counterparts, each of which shall be deemed to be an original, and such
counterparts shall together constitute one and the same instrument. The
execution by any one party of any counterpart shall be sufficient execution by
that party, whether or not the same counterpart has been executed by any other
party.
(f) FRACTIONAL SHARES. Whenever necessary, the Voting Trustee
may issue Voting Trust Certificates for fractional Shares.
(g) GENDER; NUMBER. Whenever the context of this Agreement
requires, the masculine gender includes the neuter or feminine, and the singular
number includes the plural.
(h) EFFECTIVENESS OF AGREEMENT. This Agreement shall become
effective when it shall be signed by the Voting Trustee and on behalf of each
Shareholder.
(i) GOVERNING LAW. The validity of this Agreement or any part
hereof, and the interpretation and enforcement of all provisions hereof, shall
be governed by and construed and enforced in accordance with the laws of the
State of Ohio.
(j) INVALIDITY. The invalidity of any term or provisions of
this Agreement shall not affect the validity of the remainder of this Agreement
and this Agreement shall be enforced to the greatest extent permitted by law.
(k) HEADINGS. The section headings contained in this Agreement
are for reference purposes only and shall not affect in any way the meaning or
interpretation of this Agreement.
IN WITNESS WHEREOF, the parties hereto have signed the
attached counterpart signature pages of this Agreement as of the day and year
first above written.
(Agreement and Signature Lines Continue on Following Pages)
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October___, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
VOTING TRUSTEE:
--------------------------------------
WAYNE R. HELLMAN
- 7 -
<PAGE> 8
Date: October ___, 1995
- 8 -
<PAGE> 9
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October___, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
LOUIS S. FISI
Date: October___, 1995
- 9 -
<PAGE> 10
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October __, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
DAVID L. JENNINGS
Date: October __, 1995
- 10 -
<PAGE> 11
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October___, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
JURIS SULCS
Date: October___, 1995
- 11 -
<PAGE> 12
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October___, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
ROBERT S. ROLLER
Date: October___, 1995
- 12 -
<PAGE> 13
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October___, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
BRIAN A. HELLMAN
Date: October___, 1995
- 13 -
<PAGE> 14
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October___, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
LISA B. HELLMAN
Date: October___, 1995
- 14 -
<PAGE> 15
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October___, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
JAMES F. SARVER
Date: October___, 1995
- 15 -
<PAGE> 16
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October 10, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
THE LISA MARIE ROLLER LONG TERM TRUST
DATED SEPTEMBER 24, 1995
By: ______________________________________
ROBERT S. ROLLER, as Co-Trustee of
THE LISA MARIE ROLLER LONG TERM
TRUST DATED SEPTEMBER 24, 1995
By: ______________________________________
PATRICIA M. ROLLER, as Co-Trustee of
THE LISA MARIE ROLLER LONG TERM
TRUST DATED SEPTEMBER 24, 1995
Date: October 10, 1995
- 16 -
<PAGE> 17
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October 10, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
THE JENNIFER LYNN JARRETT LONG TERM TRUST
DATED SEPTEMBER 24, 1995
By: _____________________________________
ROBERT S. ROLLER, as Co-Trustee of
THE JENNIFER LYNN JARRETT LONG TERM
TRUST DATED SEPTEMBER 24, 1995
By: _____________________________________
PATRICIA M. ROLLER, as Co-Trustee of
THE JENNIFER LYNN JARRETT LONG TERM
TRUST DATED SEPTEMBER 24, 1995
Date: October 10, 1995
- 17 -
<PAGE> 18
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October 10, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
THE KIMBERLEY JOY ROLLER LONG TERM TRUST
DATED SEPTEMBER 24, 1995
By: ______________________________________
ROBERT S. ROLLER, as Co-Trustee of
THE KIMBERLEY JOY ROLLER LONG TERM
TRUST DATED SEPTEMBER 24, 1995
By: ______________________________________
PATRICIA M. ROLLER, as Co-Trustee of
THE KIMBERLEY JOY ROLLER LONG TERM
TRUST DATED SEPTEMBER 24, 1995
Date: October 10, 1995
- 18 -
<PAGE> 19
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October 10, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
THE LISA MARIE ROLLER TRUST DATED
AUGUST 24, 1995
By: ______________________________________
ROBERT S. ROLLER, as Co-Trustee of
THE LISA MARIE ROLLER LONG TERM
TRUST DATED AUGUST 24, 1995
By: ______________________________________
PATRICIA M. ROLLER, as Co-Trustee of
THE LISA MARIE ROLLER LONG TERM
TRUST DATED AUGUST 24, 1995
Date: October 10, 1995
- 19 -
<PAGE> 20
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October 10, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
THE JENNIFER LYNN JARRETT TRUST
DATED AUGUST 24, 1995
By: ______________________________________
ROBERT S. ROLLER, as Co-Trustee of
THE JENNIFER LYNN JARRETT TRUST
DATED AUGUST 24, 1995
By: ______________________________________
PATRICIA M. ROLLER, as Co-Trustee of
THE JENNIFER LYNN JARRETT TRUST
DATED AUGUST 24, 1995
Date: October 10, 1995
- 20 -
<PAGE> 21
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on October 10, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
THE KIMBERLEY JOY ROLLER LONG TERM TRUST
DATED AUGUST 24, 1995
By: ______________________________________
ROBERT S. ROLLER, as Co-Trustee of
THE KIMBERLEY JOY ROLLER LONG TERM
TRUST DATED AUGUST 24, 1995
By: ______________________________________
PATRICIA M. ROLLER, as Co-Trustee of
THE KIMBERLEY JOY ROLLER LONG TERM
TRUST DATED AUGUST 24, 1995
Date: October 10, 1995
- 21 -
<PAGE> 22
EXHIBIT "A"
<TABLE>
<CAPTION>
SHAREHOLDERS NUMBER OF SHARES
---------------------------------- ----------------
<S> <C>
David L. Jennings 858,145
Robert S. Roller 500,668
James F. Sarver 459,485
Louis S. Fisi 657,112
Juris Sulcs 449,299
Brian A. Hellman 177,523
Lisa B. Hellman 167,206
Lisa Marie Roller Trust
dated August 24, 1995 9,708
Jennifer Lynn Jarrett Trust
dated August 24, 1995 9,708
Kimberly Joy Roller Trust
dated August 24, 1995 9,708
Lisa Marie Roller Trust
dated September 24, 1995 17,261
Jennifer Lynn Jarrett Trust
dated September 24, 1995 17,261
Kimberly Joy Roller Trust
dated September 24, 1995 17,268
</TABLE>
- 22 -
<PAGE> 23
EXHIBIT "B"
VOTING TRUST CERTIFICATE
ADVANCED LIGHTING TECHNOLOGIES, INC.
------------------------------------
No. _______________ _____ Shares of
Common Stock
WAYNE R. HELLMAN, the Voting Trustee under an Voting Trust
Agreement dated October___, 1995 (the "Agreement"), having received certain
shares of common stock of Advanced Lighting Technologies, Inc., an Ohio
corporation (the "Company") pursuant to the Agreement, hereby certifies that
_________________________ will be entitled to receive a certificate for
__________ fully paid shares of common stock, without par value, of the Company,
on the expiration or termination of the Agreement.
IN WITNESS WHEREOF, the Trustee has executed this Certificate
this ____ day of __________, 1995.
- ------------------------------------- --------------------------------
WAYNE R. HELLMAN, Voting Trustee
Name:________________________________
- -------------------------------------
Name:________________________________
STATE OF OHIO )
) SS:
COUNTY OF ______ )
The foregoing instrument was acknowledged before me this _____
day of September, 1995, by _____________________, an individual, as his free act
and deed.
--------------------------------------
Notary Public
- 23 -
<PAGE> 24
AMENDMENT NO. 1 TO
VOTING TRUST AGREEMENT
THIS AMENDMENT NO. 1 TO VOTING TRUST AGREEMENT, made and
entered into at Solon, Ohio, as of the 20th day of December, 1995 by and between
WAYNE R. HELLMAN as voting trustee (the "Voting Trustee") of the voting trust
created by this Agreement, and such owners of common stock, $.001 par value, of
ADVANCED LIGHTING TECHNOLOGIES, INC., an Ohio corporation (the "Company") whose
names are listed on Exhibit "A" attached hereto (hereinafter sometimes
separately referred to as a "Shareholder" and collectively as the
"Shareholders").
W I T N E S E T H:
------------------
WHEREAS, the Shareholders are the owners of shares of common
stock, $.001 par value, of the Company (the "Shares") subject to the terms of a
certain Voting Trust Agreement dated October 10, 1995 executed by such
Shareholders; and
WHEREAS, the Shareholders may desire to borrow funds and to
secure such loans ("Loans") by pledging a portion of their Shares.
NOW, THEREFORE, the parties hereto agree as follows:
1. AMENDMENT TO SECTION 7. Section 7(e) shall be added to
Section 7 of the Voting Trust Agreement and shall provide as follows:
(e) PLEDGING OF SHARES. The Shareholders may pledge
any portion of their Shares ("Pledged Shares") to secure the
Loans and such Pledged Shares shall not be subject to the
restrictions contained herein. Upon the repayment of such
Loans and the cancellation of such pledge, the Pledged Shares
shall again be subject to the terms of this Agreement and the
restrictions contained herein. In connection with the pledging
of Shares, the owners of the Voting Trust Certificates shall
surrender their Voting Trust Certificates to the Voting
Trustee or, upon the Voting Trustee's death or disability, the
Secretary of the Company, who shall deliver to the Company the
certificates representing the Pledged Shares, and the
Secretary of the Company shall cause the transfer agent of the
Company to issue certificates representing the Pledged Shares
to the appropriate respective owners of the Voting Trust
Certificates to be delivered to such owners upon surrender of
their respective Voting Trust Certificates. Upon repayment of
the Loans and the cancellation of such pledge and the return
of the Pledged Shares to the Shareholder, such Shareholder
shall immediately deliver the Pledged Shares to the Voting
Trustee in accordance with Section 1 of this Agreement. The
Voting Trustee or upon the Voting Trustee's death or
disability, the Secretary shall have the power to take or
cause to be taken such further and other action as he may deem
necessary or desirable to conclude promptly the duties imposed
upon him in this Section; provided however, he shall have no
authority to exercise any voting rights of the Shares.
2. PARTIES TO AGREEMENT. This Amendment shall be binding upon and shall
operate for the benefit of the Shareholders and the Voting Trustee and their
respective heirs, estates, personal representatives,
<PAGE> 25
successors and permitted assigns, and shall be binding upon any transferee of
Shares or Voting Trust Certificates from a Shareholder.
3. COUNTERPARTS. This Agreement may be executed in one or more
counterparts, each of which shall be deemed to be an original, and such
counterparts shall together constitute one and the same instrument. The
execution by any one party of any counterpart shall be sufficient execution by
that party, whether or not the same counterpart has been executed by any other
party.
4. EFFECTIVENESS OF AGREEMENT. This Amendment shall become effective
when it shall be signed by the Voting Trustee and on behalf of each Shareholder.
5. GOVERNING LAW. The validity of this Agreement or any part hereof,
and the interpretation and enforcement of all provisions hereof, shall be
governed by and construed and enforced in accordance with the laws of the State
of Ohio.
6. INVALIDITY. The invalidity of any term or provisions of this
Agreement shall not affect the validity of the remainder of this Agreement and
this Agreement shall be enforced to the greatest extent permitted by law.
IN WITNESS WHEREOF, the parties hereto have signed the
attached counterpart signature pages of this Amendment No. 1 to Voting Trust
Agreement as of the day and year first above written.
(Agreement and Signature Lines Continue on Following Pages)
- 2 -
<PAGE> 26
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on December 20, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
VOTING TRUSTEE:
--------------------------------------
WAYNE R. HELLMAN
Date: December 20, 1995
- 3 -
<PAGE> 27
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on December 20, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
LOUIS S. FISI
Date: December 20, 1995
- 4 -
<PAGE> 28
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on December 20, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
DAVID L. JENNINGS
Date: December 20, 1995
- 5 -
<PAGE> 29
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on December 20, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
JURIS SULCS
Date: December 20, 1995
- 6 -
<PAGE> 30
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on December 20, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
ROBERT S. ROLLER
Date: December 20, 1995
- 7 -
<PAGE> 31
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on December 20, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
BRIAN A. HELLMAN
Date: December 20, 1995
- 8 -
<PAGE> 32
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on December 20, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
LISA B. HELLMAN
Date: December 20, 1995
- 9 -
<PAGE> 33
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on December 20, 1995. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
JAMES F. SARVER
Date: December 20, 1995
- 10 -
<PAGE> 34
This page constitutes a counterpart signature page to the
Voting Trust Agreement (Amendment No. 1) made and entered into by and among
Advanced Lighting Technologies, Inc., an Ohio corporation (the "Company"), and
certain Shareholders of the Company on December 20, 1995. The undersigned
parties hereby agree to be bound by the terms thereof.
SHAREHOLDER:
THE LISA MARIE ROLLER LONG TERM TRUST
DATED SEPTEMBER 24, 1995
By: ______________________________________
ROBERT S. ROLLER, as Co-Trustee of
THE LISA MARIE ROLLER LONG TERM
TRUST DATED SEPTEMBER 24, 1995
By: ______________________________________
PATRICIA M. ROLLER, as Co-Trustee of
THE LISA MARIE ROLLER LONG TERM
TRUST DATED SEPTEMBER 24, 1995
Date: December 20, 1995
- 11 -
<PAGE> 35
This page constitutes a counterpart signature page to the
Voting Trust Agreement (Amendment No. 1) made and entered into by and among
Advanced Lighting Technologies, Inc., an Ohio corporation (the "Company"), and
certain Shareholders of the Company on December 20, 1995. The undersigned
parties hereby agree to be bound by the terms thereof.
SHAREHOLDER:
THE JENNIFER LYNN JARRETT LONG TERM
TRUST DATED SEPTEMBER 24, 1995
By: _____________________________________
ROBERT S. ROLLER, as Co-Trustee of
THE JENNIFER LYNN JARRETT LONG TERM
TRUST DATED SEPTEMBER 24, 1995
By: _____________________________________
PATRICIA M. ROLLER, as Co-Trustee of
THE JENNIFER LYNN JARRETT LONG TERM
TRUST DATED SEPTEMBER 24, 1995
Date: December 20, 1995
- 12 -
<PAGE> 36
This page constitutes a counterpart signature page to the
Voting Trust Agreement (Amendment No. 1) made and entered into by and among
Advanced Lighting Technologies, Inc., an Ohio corporation (the "Company"), and
certain Shareholders of the Company on December 20, 1995. The undersigned
parties hereby agree to be bound by the terms thereof.
SHAREHOLDER:
THE KIMBERLEY JOY ROLLER LONG TERM TRUST
DATED SEPTEMBER 24, 1995
By: ______________________________________
ROBERT S. ROLLER, as Co-Trustee of
THE KIMBERLEY JOY ROLLER LONG TERM
TRUST DATED SEPTEMBER 24, 1995
By: ______________________________________
PATRICIA M. ROLLER, as Co-Trustee of
THE KIMBERLEY JOY ROLLER LONG TERM
TRUST DATED SEPTEMBER 24, 1995
Date: December 20, 1995
- 13 -
<PAGE> 37
This page constitutes a counterpart signature page to the
Voting Trust Agreement (Amendment No. 1) made and entered into by and among
Advanced Lighting Technologies, Inc., an Ohio corporation (the "Company"), and
certain Shareholders of the Company on December 20, 1995. The undersigned
parties hereby agree to be bound by the terms thereof.
SHAREHOLDER:
THE LISA MARIE ROLLER TRUST DATED
AUGUST 24, 1995
By: ______________________________________
ROBERT S. ROLLER, as Co-Trustee of
THE LISA MARIE ROLLER LONG TERM
TRUST DATED AUGUST 24, 1995
By: ______________________________________
PATRICIA M. ROLLER, as Co-Trustee of
THE LISA MARIE ROLLER LONG TERM
TRUST DATED AUGUST 24, 1995
Date: December 20, 1995
- 14 -
<PAGE> 38
This page constitutes a counterpart signature page to the
Voting Trust Agreement (Amendment No. 1) made and entered into by and among
Advanced Lighting Technologies, Inc., an Ohio corporation (the "Company"), and
certain Shareholders of the Company on December 20, 1995. The undersigned
parties hereby agree to be bound by the terms thereof.
SHAREHOLDER:
THE JENNIFER LYNN JARRETT TRUST
DATED AUGUST 24, 1995
By: ______________________________________
ROBERT S. ROLLER, as Co-Trustee of
THE JENNIFER LYNN JARRETT TRUST
DATED AUGUST 24, 1995
By: ______________________________________
PATRICIA M. ROLLER, as Co-Trustee of
THE JENNIFER LYNN JARRETT TRUST
DATED AUGUST 24, 1995
Date: December 20, 1995
- 15 -
<PAGE> 39
This page constitutes a counterpart signature page to the
Voting Trust Agreement (Amendment No. 1) made and entered into by and among
Advanced Lighting Technologies, Inc., an Ohio corporation (the "Company"), and
certain Shareholders of the Company on December 20, 1995. The undersigned
parties hereby agree to be bound by the terms thereof.
SHAREHOLDER:
THE KIMBERLEY JOY ROLLER LONG TERM TRUST
DATED AUGUST 24, 1995
By: ______________________________________
ROBERT S. ROLLER, as Co-Trustee of
THE KIMBERLEY JOY ROLLER LONG TERM
TRUST DATED AUGUST 24, 1995
By: ______________________________________
PATRICIA M. ROLLER, as Co-Trustee of
THE KIMBERLEY JOY ROLLER LONG TERM
TRUST DATED AUGUST 24, 1995
Date: December 20, 1995
- 16 -
<PAGE> 40
This page constitutes a counterpart signature page to the
Voting Trust Agreement made and entered into by and among Advanced Lighting
Technologies, Inc., an Ohio corporation (the "Company"), and certain
Shareholders of the Company on June 13, 1996. The undersigned parties hereby
agree to be bound by the terms thereof.
SHAREHOLDER:
--------------------------------------
CHRISTINE L. HELLMAN
Date: June 13, 1996
- 17 -
<PAGE> 41
EXHIBIT "A"
Louis S. Fisi
Christine L. Hellman
Lisa B. Hellman
Brian A. Hellman
David L. Jennings
Robert S. Roller
James F. Sarver
Juris Sulcs
Lisa Marie Roller Trust
dated August 24, 1995
Jennifer Lynn Jarrett Trust
dated August 24, 1995
Kimberly Joy Roller Trust
dated August 24, 1995
Lisa Marie Roller Trust
dated September 24, 1995
Jennifer Lynn Jarrett Trust
dated September 24, 1995
Kimberly Joy Roller Trust
dated September 24, 1995
- 18 -
<PAGE> 1
Exhibit 9.2
IRREVOCABLE PROXY
1. The undersigned shareholder ("Shareholder"), holder of the number of
shares of common stock of Advanced Lighting Technologies, Inc., an Ohio
corporation (the "Company") indicated opposite his signature, hereby
irrevocably appoints and constitutes WAYNE R. HELLMAN ("Proxy Holder")
as his attorney and proxy to exercise all shareholder rights of the
Shareholder in respect of the Shares, including, but not limited to,
the right to exercise the voting rights of such Shares on each matter
submitted to the Company's shareholders for their vote, consent,
waiver, release, or other action and the right to take part in any
corporate or shareholders' action of the Company, whether ordinary or
extraordinary, by proxy or otherwise. The right of the Proxy Holder to
exercise the voting rights of the Shares in accordance with the terms
hereof includes, but is not limited to, the exercise of voting rights
relating to fixing the number and election of directors of the Company,
the changing of the Company's capital structure, the amendment of the
Company's Articles of Incorporation or Code of Regulations, the
reclassification of the Shares, the purchase of assets by the Company,
and the merger, consolidation, liquidation or dissolution of the
Company. The Shareholder shall not have any right to exercise the
voting rights of such Shares or to take part in any corporate or
shareholders' action or to do or perform any act or thing that
shareholders of the Company are now or may hereafter become entitled to
do or to perform, for so long as the Shares owned by such Shareholder
are subject to this Irrevocable Proxy pursuant to Section 3 hereof,
except to receive cash dividends and distributions when declared and
paid and to review the books and records of the Company during normal
business hours. Notwithstanding anything to the contrary, the Proxy
Holder shall not have the right to sell or otherwise transfer the
Shares of the Shareholder. The power and duties of the Proxy Holder
shall be identical to the power and duties of the Proxy Holder in his
capacity as Voting Trustee under a certain Voting Trust Agreement
dated October 10, 1995 as amended by Amendment No. 1 to Voting Trust
Agreement, dated December 20, 1995 ("Voting Trust Agreement") as set
forth in Sections 5 and 6 of the Voting Trust Agreement, which are
hereby incorporated by reference.
2. In exercising the voting rights of the Shares, or in doing any act with
respect to the control or management of the Company or its affairs, or
otherwise acting hereunder, the Proxy Holder shall be free to exercise
his full discretion. Notwithstanding anything to the contrary, the
Proxy Holder shall not have the right to sell or otherwise transfer the
Shares of the Shareholder.
3. In compliance with Ohio Revised Code, Section 1701.48 this Irrevocable
Proxy is made irrevocable and executed in consideration of the release
of the Shares from the Voting Trust Agreement to permit Shareholder to
obtain a margin loan from Prudential Securities Incorporated ("Margin
Loan") provided, however, upon repayment of the Margin Loan, the Shares
shall again become subject to the Voting Trust Agreement. This proxy is
made irrevocable so as to secure the Proxy Holder's right as Voting
Trustee under the Voting Trust Agreement to vote the Shares upon the
release of the Shares from the Voting Trust Agreement and to secure
Shareholder's agreement that the Shares shall again become subject to
the Voting Trust Agreement upon repayment of the Margin Loan.
4. Any additional shares issued to the Shareholder shall be subject to
this Irrevocable Proxy only to the extent such additional shares would
be subject to the Voting Trust Agreement.
5. This Proxy for all or a portion of the Shares shall terminate upon the
earlier to occur of (a) Prudential Securities Incorporated has
exercised its rights upon an event of default under the Margin Loan,
(b) the repayment of the Margin Loan, and the Shares becoming subject
to the Voting Trust Agreement or (c) the termination of the Voting
Trust Agreement pursuant to Section 7 of the Voting Trust Agreement.
<PAGE> 2
6. In the event of a dispute or controversy arising out of or relating to
this Irrevocable Proxy, or performance hereof, Proxy Holder shall be
entitled to vote the shares pursuant to this Irrevocable Proxy during
the pendency of such dispute.
This Irrevocable Proxy may be executed in one or more counterparts, each of
which shall constitute an original document, but all of which together shall be
one and same Irrevocable Proxy.
SHAREHOLDER:
No. of Shares Subject to
this Irrevocable Proxy: ______
______________________________
______________________________
Dated: _______ __, 1996
ACCEPTED AND AGREED TO:
PROXY HOLDER
______________________________
Wayne R. Hellman
Dated: _______ __, 1996
