<PAGE> 1
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 3)*
ADVANCED LIGHTING TECHNOLOGIES, INC.
------------------------------------
(Name of Issuer)
COMMON STOCK, $.001 par value
-----------------------------
(Title of Class of Securities)
00753C 10 2
-----------
(CUSIP Number)
<TABLE>
<S><C>
Gerald W. Cowden, Esq., 1414 Terminal Tower, Cleveland, Ohio 44113; (216) 241-2880
----------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
</TABLE>
December, 1996 AND January, 1997
--------------------------------
(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).
<PAGE> 2
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- -----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 2 OF 23
- -------------------------------------------------- -----------------------------------------
<S> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Wayne R. Hellman, individually and as Trustee of the Voting Trust (defined herein below).
- -----------------------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [x]
(b) [x]
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, as amended. Additionally, Mr. Hellman is the holder of
the Proxies (defined herein below).
- -----------------------------------------------------------------------------------------------------------------------------------
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 5,318,944
SHARES ---------------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING 0
PERSON ---------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
2,238,211
---------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- -----------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,318,944
- -----------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- -----------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
39.56%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 3
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- ----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 3 OF 23
- -------------------------------------------------- ----------------------------------------
<S> <C>
- ----------------------------------------------------------------------------------------------------------------------------------
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
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
715,558
------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ----------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
715,558
- ----------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- ----------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.32%
- ----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 4
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- ----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 4 OF 23
- -------------------------------------------------- ----------------------------------------
<S> <C>
- ----------------------------------------------------------------------------------------------------------------------------------
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
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
539,042
------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ----------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
539,042
- ----------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X]
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)
4.00%
- ----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 5
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- -----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 5 OF 23
- -------------------------------------------------- -----------------------------------------
<S> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
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
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
336,711
-------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- -----------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
336,711
- -----------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X]
Mr. Roller disclaims beneficial ownership of 80,914 share owned by six trusts for the benefit of
his children.
- -----------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.50%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 6
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- -----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 6 OF 23
- -------------------------------------------------- -----------------------------------------
<S> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
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
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
371,888
-------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- -----------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
371,888
- -----------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- -----------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.77%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 7
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- -----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 7 OF 23
- -------------------------------------------------- -----------------------------------------
<S> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
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
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
394,137
-------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- -----------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
394,137
- -----------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- -----------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.93%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 8
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- ----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 8 OF 23
- -------------------------------------------------- ----------------------------------------
<S> <C>
- ----------------------------------------------------------------------------------------------------------------------------------
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
332,350
------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ----------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
332,350
- ----------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- ----------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.47%
- ----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 9
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- -----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 9 OF 23
- -------------------------------------------------- -----------------------------------------
<S> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
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
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
155,262
-------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- -----------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
155,262
- -----------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- -----------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.15%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 10
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- -----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 10 OF 23
- -------------------------------------------------- -----------------------------------------
<S> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
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
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
146,239
-------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- -----------------------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
146,239
- -----------------------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- -----------------------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.09%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 11
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- -----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 11 OF 23
- -------------------------------------------------- -----------------------------------------
<S> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
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)
0.07%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 12
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- -----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 12 OF 23
- -------------------------------------------------- -----------------------------------------
<S> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
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(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)
0.07%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 13
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- -----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 13 OF 23
- -------------------------------------------------- -----------------------------------------
<S> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
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)
0.07%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 14
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- -----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 14 OF 23
- -------------------------------------------------- -----------------------------------------
<S> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
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)
0.13%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 15
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- -----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 15 OF 23
- -------------------------------------------------- -----------------------------------------
<S> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
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)
0.13%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 16
<TABLE>
<CAPTION>
SCHEDULE 13D
- -------------------------------------------------- -----------------------------------------
CUSIP NO. 00753C 10 2 PAGE 16 OF 23
- -------------------------------------------------- -----------------------------------------
<S> <C>
- -----------------------------------------------------------------------------------------------------------------------------------
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)
0.13%
- -----------------------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- -----------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 17
CUSIP NO. 00753C 10 2 PAGE 17 OF 23
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").
ITEM 2. IDENTITY AND BACKGROUND
a. The names of the persons filing this statement are Wayne R. Hellman
individually and as Voting Trustee ("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: Juris Sulcs ("Sulcs"); James F. Sarver ("Sarver"); Christine
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 David L.
Jennings ("Jennings") Louis S. Fisi ("Fisi"), Robert S. Roller
("Roller") and Brian A. Hellman, 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 for each matter submitted to the
Company's shareholders for their vote. Each of the record owners of
the shares subject to the Voting Trust and the Proxies are sometimes
referred to herein as a Member of the "Voting Trust Group."
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, Sarver and Lisa B. Hellman are located at 32000 Aurora
Road, Solon, Ohio 44139. 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.
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)
</TABLE>
<PAGE> 18
CUSIP NO. 00753C 10 2 PAGE 18 OF 23
<TABLE>
<CAPTION>
Members of the Voting Trust Group:
<S> <C> <C>
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
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. 32000 Aurora Road
Solon, Ohio 44139
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 PAGE 19 OF 23
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Not applicable; Amendment No. 3 reports a decrease in the number of shares
of Common Stock beneficially owned.
ITEM 4. PURPOSE OF TRANSACTION
This Amendment No. 3 describes the dispositions by the following members
of the Voting Trust during the months of December, 1996 and January, 1997.
<TABLE>
<CAPTION>
Name # Shares Transferred
---- --------------------
<S> <C>
Hellman 51,000
The following members of
the Voting Trust:
Jennings -0-
Fisi 5,625
Roller 10,000
Sulcs 2,757
Sarver 7,317
Christine Hellman -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>
No reporting person has a present intention to acquire additional
securities of the Issuer.
Amendment No. 3 is being reported as a result of shares of Common Stock
gift transferred by Hellman, Fisi, Roller, Sulcs and Sarver. All such
transactions decrease the number of shares owned. No change is being reported in
the beneficial ownership of Jennings, Christine Hellman, 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.
ITEM 5 INTEREST IN SECURITIES OF THE ISSUER
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 January 31, 1997:
<TABLE>
<CAPTION>
Name Aggregate # Shares % # Shares Sole # Shares Sole or Shared Power
- ---- ------------------ - ------------- -----------------------------
Beneficially Owned Power to Vote To Dispose
------------------ ------------- ----------
<S> <C> <C> <C> <C>
Hellman 5,318,944 (includes 39.56% 5,318,944 2,238,211
2,238,211 shares
owned in his indiv-
idual capacity)
Jennings* 715,558 5.32% 0 715,558
</TABLE>
<PAGE> 20
CUSIP NO. 00753C 10 2 PAGE 20 OF 23
<TABLE>
<S> <C> <C> <C> <C>
Fisi* 539,042 4.00% 0 539,042
Sarver* 394,137 2.93% 0 394,137
Sulcs* 371,888 2.77% 0 371,888
Roller* 366,711 2.50% 0 366,711
Christine Hellman* 332,350 2.47% 0 332,350
Brian Hellman* 155,262 1.15% 0 155,262
Lisa Hellman* 146,239 1.09% 0 146,239
LMR Trust* 9,708 0.07% 0 9,708
JLJ Trust* 9,708 0.07% 0 9,708
KJR Trust* 9,708 0.07% 0 9,708
LMR Long
Term Trust* 17,261 0.13% 0 17,261
JLJ Long
Term Trust* 17,261 0.13% 0 17,261
KJR Long
Term Trust* 17,268 0.13% 0 17,268
<FN>
* These persons constitute members of a group as a result of their transfer
of such shares to the Voting Trust or the Proxy, as the case may be (see
Item 2 hereof).
</TABLE>
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
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 Irrevocable Proxies, Mr.
Hellman has the power to vote all stock owned by Fisi, Roller, Jennings and
Brian A. Hellman.
<PAGE> 21
CUSIP NO. 00753C 10 2 PAGE 21 OF 23
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
The form of the Voting Trust Agreement, as amended, and the form of the
Irrevocable Proxy are hereby incorporate by reference from the Amendment No. 2
to Schedule 13D filed via EDGAR on June 24, 1996.
(SIGNATURES ON FOLLOWING PAGES.)
<PAGE> 22
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: February 10, 1997 /s/ Wayne R. Hellman
WAYNE R. HELLMAN*
Date: February 10, 1997 /s/ David L. Jennings
DAVID L. JENNINGS**
Date: February 10, 1997 /s/ Louis S. Fisi
LOUIS S. FISI**
Date: February 9, 1997 /s/ Robert S. Roller
ROBERT S. ROLLER**
Date: February 10, 1997 /s/ Juris Sulcs
JURIS SULCS**
Date: February 10, 1997 /s/ James F. Sarver
JAMES F. SARVER**
Date: February 10, 1997 /s/ Christine Hellman
CHRISTINE HELLMAN**
Date: February 10, 1997 /s/ Brian A. Hellman
BRIAN A. HELLMAN**
Date: February 10, 1997 /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> 23
(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.
Date: February 9, 1997 /s/ Robert S. Roller
ROBERT S. ROLLER AS CO-TRUSTEE OF THE
LISA MARIE ROLLER TRUST DATED AUGUST 24,
1995**
Date: February 9, 1997 /s/ Robert S. Roller
ROBERT S. ROLLER AS CO-TRUSTEE OF THE
JENNIFER LYNN JARRETT TRUST DATED AU-
GUST 24, 1995**
Date: February 9, 1997 /s/ Robert S. Roller
ROBERT S. ROLLER AS CO-TRUSTEE OF THE
KIMBERLY JOY ROLLER TRUST DATED AUGUST
24, 1995**
Date: February 9, 1997 /s/ Robert S. Roller
ROBERT S. ROLLER CO-TRUST FOR THE LISA
MARIE ROLLER LONG TERM TRUST DATED
SEPTEMBER 24, 1995**
Date: February 9, 1997 /s/ Robert S. Roller
ROBERT S. ROLLER, CO-TRUSTEE FOR THE
JENNIFER LYNN JARRETT LONG TERM TRUST
DATED SEPTEMBER 24, 1995**
Date: February 9, 1997 /s/ Robert S. Roller
ROBERT S. ROLLER, CO-TRUSTEE OF THE
KIMBERLY JOY ROLLER LONG TERM TRUST
DATED SEPTEMBER 24, 1995**
- --------------------------
* Member of Voting Trust Group only as to certain shares of which Hellman is
voting trustee.
** Member of the Voting Trust Group.
