<PAGE> 1
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 4)
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., 1414 Terminal Tower,
Cleveland, Ohio 44113; (216) 241-2880
--------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
July 22 , 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. [ ]
<PAGE> 2
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 2 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<S> <C>
- ------------ -----------------------------------------------------------------------------------------------------------------------
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) [ ]
Mr. Hellman affirms himself to be a member of a group only to the extent that the 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 - a disposition
- ------------ -----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ]
- ------------ -----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ----------------------------------------------- --------- --------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 4,896,545
SHARES --------- --------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH
REPORTING 8 SHARED VOTING POWER
PERSON 0
WITH --------- --------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
2,023,070
--------- --------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ -----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,896,545
- ------------ -----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X]
Mr. Hellman disclaims beneficial ownership of 50,000 shares which are owned by Hellman Foundation, of which Mr.
Hellman is the trustee. Mr. Hellman also disclaims beneficial ownership of 125,000 shares which are owned by Hellman,
Ltd., an Ohio limited liability company, of which Mr. Hellman is the manager.
- ------------ -----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
29.8%
- ------------ -----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 3
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 3 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<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 - a disposition
- ------------ -----------------------------------------------------------------------------------------------------------------------
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
REPORTING 8 SHARED VOTING POWER
PERSON 0
WITH --------- --------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
659,639
--------- --------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ -----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
661,444
- ------------ -----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X]
Mr. Jennings disclaims beneficial ownership ow 1,805 shares owned by his wife.
- ------------ -----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.0%
- ------------ -----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 4
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 4 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<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 - a disposition
- ------------ -----------------------------------------------------------------------------------------------------------------------
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
REPORTING 8 SHARED VOTING POWER
PERSON 0
WITH --------- --------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
496,917
--------- --------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ -----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
496,917
- ------------ -----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
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)
3.0%
- ------------ -----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 5
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 5 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<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 - a disposition
- ------------ -----------------------------------------------------------------------------------------------------------------------
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 6,000
SHARES --------- --------------------------------------------------------------------------
BENEFICIALLY OWNED BY EACH
REPORTING 8 SHARED VOTING POWER
PERSON 0
WITH --------- --------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
390,812
--------- --------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ -----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
390,812
- ------------ -----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
Mr. Roller disclaims beneficial ownership of 80,414 shares owned by six trusts for the benefit of
his children.
- ------------ -----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.4%
- ------------ -----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 6
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 6 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<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 - a disposition
- ------------ -----------------------------------------------------------------------------------------------------------------------
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
REPORTING 8 SHARED VOTING POWER
PERSON 0
WITH --------- --------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
340,312
--------- --------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ -----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
340,312
- ------------ -----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- ------------ -----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.0%
- ------------ -----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 7
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 7 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<S> <C>
- ------------ -----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
The Estate of 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
REPORTING 8 SHARED VOTING POWER
PERSON 0
WITH --------- --------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
333,917
--------- --------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ -----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
333,917
- ------------ -----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- ------------ -----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.0%
- ------------ -----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 8
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 8 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<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- a disposition
- ------------ -----------------------------------------------------------------------------------------------------------------------
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
REPORTING 8 SHARED VOTING POWER
PERSON 0
WITH --------- --------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
306,377
--------- --------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ -----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
306,377
- ------------ -----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- ------------ -----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.9%
- ------------ -----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 9
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 9 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<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
REPORTING 8 SHARED VOTING POWER
PERSON 0
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)
1.2%
- ------------ -----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 10
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 10 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<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
REPORTING 8 SHARED VOTING POWER
PERSON 0
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)
1.1%
- ------------ -----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 11
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 11 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<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
REPORTING 8 SHARED VOTING POWER
PERSON 0
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
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 12 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<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
REPORTING 8 SHARED VOTING POWER
PERSON 0
WITH --------- --------------------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
9,208
--------- --------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ -----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,208
- ------------ -----------------------------------------------------------------------------------------------------------------------
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
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 13 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<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
REPORTING 8 SHARED VOTING POWER
PERSON 0
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
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 14 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<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
REPORTING 8 SHARED VOTING POWER
PERSON 0
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)
0.1%
- ------------ -----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ------------ -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 15
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 15 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<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
REPORTING 8 SHARED VOTING POWER
PERSON 0
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)
0.1%
- ------------ -----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ------------ -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 16
SCHEDULE 13D
- --------------------------------- ------------------------------
CUSIP NO. 00753C 10 2 PAGE 16 OF 29
- --------------------------------- ------------------------------
<TABLE>
<CAPTION>
(AMENDMENT NO. 4)
<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
REPORTING 8 SHARED VOTING POWER
PERSON 0
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)
0.1%
- ------------ -----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ------------ -----------------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE> 17
CUSIP NO. 00753C 10 2 PAGE 17 OF 29
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 ("Hellman"), and Hellman as Voting
Trustee 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"); the Estate of
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"), and Robert S. Roller ("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 with respect to each
matter submitted to the Company's shareholders for
their vote. The record owner 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 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 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. The address of
Sarver is 10667 Cedar Road, Chesterland, Ohio 44026.
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 29
<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)
Secretary
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
Estate of Sarver Not Applicable 10667 Cedar Lane
Chesterland, Ohio 44026
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, 32000 Aurora Road
Inc. 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
</TABLE>
<PAGE> 19
CUSIP NO. 00753C 10 2 PAGE 19 OF 29
f. All reporting persons are citizens of the United
States of America.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Not applicable; Amendment No. 4 reports a decrease in the number of
shares of Common Stock beneficially owned.
ITEM 4. PURPOSE OF TRANSACTION
Name # Shares Transferred
---- --------------------
Hellman 165,141
The following members of
the Voting Trust:
Jennings 55,919
Fisi 42,125
Roller 26,313
Sulcs 28,849
Sarver 30,680
Christine Hellman 25,973
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-
Other than through the Issuer's incentive stock option plans,
no reporting person has a present intention to acquire additional securities
of the Issuer.
Amendment No.4 is being reported as a result of shares of
Common Stock sold by Hellman, Fisi, Jennings, Roller, Sulcs, Sarver and
Christine Hellman to certain U.S. underwriters pursuant to such underwriters'
exercise of an over-allotment option granted to them in connection with the
Issuer's public offering of Common Stock described in a prospectus dated July 1,
1997. Such sales decrease the number of shares owned. No change is being
reported in the beneficial ownership of 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 July 22, 1997:
<PAGE> 20
CUSIP NO. 00753C 10 2 PAGE 20 OF 29
<TABLE>
<CAPTION>
Name Aggregate # Shares % # Shares Sole # Shares Sole Power
- ----- ------------------ - -------------- -------------------
Power to Vote to Dispose
------------- ----------
<S> <C> <C> <C> <C>
Hellman 4,896,545 29.8% 4,924,545 2,023,070
2,023,070
owned in his indiv-
idual capacity)
Jennings* 661,444 4.03% 0 661,444
Fisi* 496,917 3.02% 0 496,917
Estate of Sarver* 333,917 2.03% 0 333,917
Sulcs* 371,888 2.07% 0 371,888
Roller* 390,812 2.38% 0 390,812
Christine Hellman* 306,377 1.86% 0 306,377
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 9,208
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 Irrevocable 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. On May 31, 1997, Hellman transferred 50,000 shares to
Hellman Foundation, a charitable foundation, to which
Hellman has voting power. This transfer by Hellman
constituted a gift and therefore, Hellman did not
receive any consideration for said transfer. Also, on
May 31, 1997, Roller transferred 6,000 shares to
Roller Foundation, a charitable foundation, to which
Roller has sole voting power. Additionally, on July
10, 1997, James F. Sarver transferred a total of
28,000 shares to nine (9) related individuals. These
shares transferred by Sarver constituted a gift
<PAGE> 21
CUSIP NO. 00753C 10 2 PAGE 21 OF 29
to each of the nine (9) individuals and therefore,
Sarver did not receive any consideration for such
transfers. Other than the transfer of shares
described in Item 4 and this Item 5c, 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, Estate of 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.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
1. 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.
2. The Irrevocable Power of Attorney authorizing Wayne R.
Hellman as attorney-in-fact to sign on behalf of James F. Sarver.
(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: July 31, 1997 /s/ Wayne R. Hellman
WAYNE R. HELLMAN*
Date: July 31, 1997 /s/ David L. Jennings
DAVID L. JENNINGS**
Date: July 31, 1997 /s/ Louis S. Fisi
LOUIS S. FISI**
Date: August 1, 1997 /s/ Robert S. Roller
ROBERT S. ROLLER**
Date: August 5, 1997 /s/ Juris Sulcs
JURIS SULCS**
Date: July 31, 1997 /s/ Wayne R. Hellman
Wayne R. Hellman for
JAMES F. SARVER**, pursuant to
Irrevocable Power of Attorney
Dated June 16, 1997***
Date: July 30, 1997 /s/ Christine Hellman
CHRISTINE HELLMAN**
Date: July 30, 1997 /s/ Brian A. Hellman
BRIAN A. HELLMAN**
Date: July 31, 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.
*** See attached Exhibit 7.2.
<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: August 1, 1997 /s/ Robert S. Roller
ROBERT S. ROLLER AS CO-TRUSTEE OF THE LISA MARIE
ROLLER TRUST DATED AUGUST 24, 1995**
Date: August 1, 1997 /s/ Robert S. Roller
ROBERT S. ROLLER AS CO-TRUSTEE OF THE JENNIFER LYNN
JARRETT TRUST DATED AUGUST 24, 1995**
Date: August 1, 1997 /s/ Robert S. Roller
ROBERT S. ROLLER AS CO-TRUSTEE OF THE KIMBERLY JOY
ROLLER TRUST DATED AUGUST 24, 1995**
Date: August 1, 1997 /s/ Robert S. Roller
ROBERT S. ROLLER CO-TRUST FOR THE LISA MARIE ROLLER
LONG TERM TRUST DATED SEPTEMBER 24, 1995**
Date: August 1, 1997 /s/ Robert S. Roller
ROBERT S. ROLLER, CO-TRUSTEE FOR THE JENNIFER LYNN
JARRETT LONG TERM TRUST DATED SEPTEMBER 24, 1995**
Date: August 1, 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.
<PAGE> 1
ADVANCED LIGHTING TECHNOLOGIES, INC.
Common Stock
($.001 Par Value)
SELLING SHAREHOLDER'S IRREVOCABLE POWER OF ATTORNEY
The undersigned (the "Selling Shareholder"), together with
Advanced Lighting Technologies, Inc. (the "Company") and certain other holders
of the Company's common stock, $.001 par value (the "Common Stock") (such holder
and the Selling Shareholder being together referred to as the "Selling
Shareholders"), propose to enter into an underwriting agreement (the
"Underwriting Agreement") with Morgan Stanley & Co. Incorporated, Prudential
Securities Incorporated and Raymond James & Associates, Inc. as the
representatives (the "US Representatives") of the US underwriters named in
SCHEDULE I to the Underwriting Agreement and Morgan Stanley & Co. International
Limited, Prudential-Bache Securities (U.K.) Inc. and Raymond James & Associates,
Inc., as the international representatives (the "International Representatives")
of the underwriters to be named in SCHEDULE II to the Underwriting Agreement
(collectively, the US and International Underwriters are the "Underwriters"),
substantially in the form to be filed as EXHIBIT 1.1 to the Company's
registration statement on Form S-1 (the "Registration Statement") covering
certain shares of Common Stock of the Company to be sold by the Company and the
Selling Shareholders (the "Offering"). The proposed form of the Underwriting
Agreement provides that the Selling Shareholders will sell certain shares of
Common Stock of the Company to the Underwriters pursuant to the Underwriting
Agreement. A copy of the draft Registration Statement and the form of
Underwriting Agreement were sent to the Selling Shareholder along with this
Power of Attorney, and the Selling Shareholder acknowledges that he has received
and reviewed them. All capitalized terms not otherwise defined in this document
shall have the meanings assigned to them in the Underwriting Agreement.
The Offering includes shares held by the Selling Shareholder
and shares to be issued by the Company. The undersigned proposes to sell up to
36,816 shares of Common Stock to the Underwriters for reoffering by the
Underwriters together with shares of Common Stock to be purchased by the
Underwriters from other Selling Shareholders and the Company.
Appointment of Attorney; Powers
- -------------------------------
The Selling Shareholder hereby irrevocably constitutes and
appoints Wayne R. Hellman, with full power of substitution, as the true and
lawful attorney-in-fact (the "Attorney") of the Selling Shareholder with full
power in the name of, for and on behalf of the Selling Shareholder with respect
to all matters arising in connection with the sale of Common Stock by the
Selling Shareholder to the Underwriters including, but not limited to, the power
and authority to take any and all of the following actions:
(1) To sell and deliver to the several Underwriters the number
of shares of Common Stock set forth in the Letter of Transmittal and Custody
Agreement (the "Custody
<PAGE> 2
Agreement"), in the form accompanying this Power of Attorney, between the
Selling Shareholder and American Stock Transfer & Trust Co. as Custodian (the
"Custodian"), in accordance with the terms of the Underwriting Agreement (such
shares being referred to herein as the "Selling Shareholder's Shares," and the
Selling Shareholder's Shares together with the total number of shares of all
Selling Shareholders to be sold pursuant to the Underwriting Agreement, are
hereinafter referred to as the "Shares"), such Selling Shareholder's Shares to
be represented by the certificates enclosed herewith, together with stock powers
relating to them and deposited pursuant to the Custody Agreement at a price and
on such other terms as are determined by the Attorney and set forth in the
Underwriting Agreement.
(2) For the purpose of effecting such sale, to negotiate,
execute, deliver and perform the Underwriting Agreement with the Underwriters,
and in conjunction with the US and International Representatives to determine
the public offering price for the shares of Common Stock to be offered to the
public and the price to be paid by the Underwriters for the Shares and the other
terms of sale in accordance with the Underwriting Agreement and paragraph (1)
above, with full power to make such changes, additions, insertions and
amendments to the Underwriting Agreement as the Attorney in his sole discretion
may deem advisable;
(3) (a) To deliver the Custody Agreement and the certificates
and other documents included therewith to the Custodian;
(b) To endorse, transfer and deliver the certificates for
the Selling Shareholder's Shares to the Underwriters, or to their nominee or
nominees, pursuant to the Underwriting Agreement, and to give such orders and
instructions to the Custodian as the Attorney may determine with respect to (i)
the transfer on the books of the Company of the Selling Shareholder's Shares to
be sold by the Selling Shareholder to the Underwriters in order to effect such
sale (including the names in which new certificates are to be issued and the
denominations thereof), (ii) the delivery to or for the account of the
Underwriters of the certificates for the Selling Shareholder's Shares against
receipt by the Custodian or its agent of the purchase price to be paid therefor,
(iii) the payment out of the proceeds (net of the underwriting discounts and
selling commissions) from the sale of the Selling Shareholder's Shares by the
Selling Shareholder to the Underwriters of any expense incurred in connection
with the sale to the public of such Shares to the public which is not payable by
the Company, (iv) the return to the Selling Shareholder of new certificates
representing the number of shares of Common Stock, if any, represented by
certificates deposited with the Custodian which are in excess of the number of
shares of Common Stock sold by the Selling Shareholder to the Underwriters, and
(v) delivery by the Custodian to the Selling Shareholder of the net proceeds
from the sale of the Selling Shareholder's Shares sold to the Underwriters; and
(c) To amend the Custody Agreement and the Underwriting
Agreement and any related documents in such manner as the Attorney may determine
to be in the best interests of the Selling Shareholder;
-2-
<PAGE> 3
(4) To approve on behalf of the Selling Shareholder any
amendments to the Registration Statement or the Prospectus, to take all
necessary action with respect to the Registration Statement under the Securities
Act of 1933 covering the offering and sale of the shares and all amendments
thereto, and, if applicable, to advise the Securities and Exchange Commission
(the "Commission") on behalf of the Selling Shareholder that such person is
aware (i) that the Commission's staff has made summary, cursory or no review of
the Registration Statement, as applicable; and (ii) that such review or lack
thereof may not be relied upon in any degree to indicate that the Registration
Statement is true, complete or accurate;
(5) To retain legal counsel to represent the Selling
Shareholder in connection with any and all matters referred to herein (which
counsel shall be Cowden, Humphrey & Sarlson Co., L.P.A., counsel for the
Company, so long as no conflict of interest exists between Cowden, Humphrey &
Sarlson's representation of the Selling Shareholder and Cowden, Humphrey &
Sarlson's representation of the Company);
(6) To make, execute, acknowledge and deliver all such other
contracts, stock powers, waivers, orders, receipts, notices, requests,
instructions, certificates, letters, consents and other writings, including,
without limitation, communications to the Commission and amendments to the
Underwriting Agreement and in general to do all things and to take all actions
which the Attorney in his sole discretion, may consider necessary or proper in
connection with or to carry out the aforesaid sale of Shares and the public
offering of Common Stock, as fully as could the Selling Shareholder if
personally present and acting;
(7) To make, acknowledge, verify and file on behalf of the
Selling Shareholder applications, consents to service of process and such other
assurances, communications, undertakings or reports as may be required by law or
necessary to facilitate the sale or resale of the Selling Shareholder's Shares
or to effect the registration or qualification of the Selling Shareholder's
Shares under state securities laws;
(8) If necessary, to endorse (in blank or otherwise) on behalf
of the Selling Shareholder the certificate or certificates representing the
Selling Shareholder's Shares, or a stock power and powers attached to such
certificate or certificates;
(9) To reduce to an amount less than that set forth pursuant
to the Custody Agreement the number of Shares to be sold by the Selling
Shareholder pursuant to the Underwriting Agreement, such reduction to be made as
the Attorney in his sole discretion shall deem necessary in view of market
conditions or for any other reason; and
(10) Otherwise to do all things and to execute and deliver all
documents which may be deemed necessary or advisable by the Attorney, and
generally to act for and in the name of the Selling Shareholder, with respect to
the sale of the Selling Shareholder's Shares to the Underwriters and the resale
of the Selling Shareholder's Shares by the Underwriters, as fully as could the
undersigned if then personally present and acting.
-3-
<PAGE> 4
The Attorney is hereby empowered to determine in his sole
discretion the time or times at which, purpose for and manner in which any power
herein conferred upon him shall be exercised, and the conditions, provisions or
covenants of any instrument or document which may be executed by him pursuant
hereto.
The Selling Shareholder gives the Attorney full and absolute
power to enter into the Underwriting Agreement on behalf of the Selling
Shareholder. The Selling Shareholder has reviewed the form of Underwriting
Agreement delivered to and received by him and understands the obligations and
agreements of the Selling Shareholder set forth therein. All representations,
warranties and agreements of the Selling Shareholder in the Underwriting
Agreement are, and will be at the Closing Date and, if applicable, at the Option
Closing Date, true and correct and will, as provided in the Underwriting
Agreement, survive the termination of the Underwriting Agreement and the
delivery of and payment for that portion of the Shares being sold by the Selling
Shareholder.
Irrevocable Power of Attorney
- -----------------------------
This Power of Attorney and all authority conferred hereby are
granted and conferred subject to and in consideration of the interests of the
several Underwriters, the Company and the other Selling Shareholders who may
become parties to the Underwriting Agreement, and for the purposes of completing
the transactions contemplated by the Underwriting Agreement and this Power of
Attorney.
This Power of Attorney is an agency coupled with an interest
and all authority conferred hereby shall be irrevocable. The Selling Shareholder
specifically agrees that:
(1) The Shares represented by the certificates deposited in
custody for the Selling Shareholder under the Custody Agreement are subject to
the interests of the Underwriters under the Underwriting Agreement, and that the
arrangements made by the Selling Shareholder for such custody, and the
appointment by the Selling Shareholder of the Attorney by this Power of
Attorney, are to that extent irrevocable;
(2) The obligations of the Selling Shareholder under the
Underwriting Agreement shall not be terminated by any act of the Selling
Shareholder, or by operation of law, whether by death or incapacity of the
Selling Shareholder, or, in the case of an estate or trust, by the death or
incapacity of any executor or trustee or the termination of such estate or
trust, or in the case of a partnership or corporation, by the dissolution of
such partnership or corporation, or by the occurrence of any other event;
(3) If death, incapacity, termination, dissolution or other
event as referred to in paragraph (2) above should occur before the delivery of
Shares under the Underwriting Agreement, the certificates representing the
Selling Shareholder's Shares shall be delivered by or on behalf of the Selling
Shareholder in accordance with the terms and conditions of the Underwriting
Agreement and of the Custody Agreement, and actions taken by the Attorney
pursuant to this Power of Attorney shall be as valid as if such death,
incapacity, termination, dissolution or other event had not occurred,
-4-
<PAGE> 5
regardless of whether or not the Custodian, the Attorney, or either of them,
shall have received notice of such event.
Notwithstanding any of the foregoing provisions, if all of the
transactions contemplated by the Underwriting Agreement and this Power of
Attorney are not completed prior to September 30, 1997, then, from and after
such date, the Selling Shareholder shall have the power, upon written notice to
the Attorney, with a copy to the Custodian, to terminate this Power of Attorney
subject, however, to all lawful action done or performed pursuant hereto prior
to the receipt of actual notice.
The Selling Shareholder acknowledges that the Attorney is
Chief Executive Officer of the Company and agrees that the Attorney shall serve
as the Selling Shareholder's agent with respect to the matters covered herein.
It is understood that the Attorney shall serve entirely
without compensation. This Power of Attorney shall be governed by the laws of
the State of Ohio.
Witness the due execution of the foregoing Power of Attorney
as of this 16th day of June, 1997.
Very truly yours,
Print Name and Address:
James F. Sarver /s/ JAMES F. SARVER
10667 Cedar Road JAMES F. SARVER
Chesterland, OH 44026
Social Security or Tax ID No.: Signature guaranteed by:
###-##-####
Signature Guaranteed
Medallion Guaranteed
Keybank National Association
/s/ BARBARA SIENKIEWICZ
Authorized Signature X9004108
Securities Transfer Agents Medallion
Program
(Note: The signature(s) must be
guaranteed by a bank or trust company or
by a broker which is a member of the New
York, American or Pacific Stock
Exchange.)
-5-
<PAGE> 6
STATE OF OHIO )
)SS
COUNTY OF CUYAHOGA )
The foregoing instrument was acknowledged before me this June 16, 1997,
by JAMES F. SARVER, individually as his free act and deed.
/s/ BARBARA SIENKIEWICZ
Notary Public
My Commission Expires: June 5, 2001
* To be signed in exactly the same manner as the certificates are
registered.
Please call Mr. Isaac Freilich at American Stock Transfer & Trust Company at
(718) 921-8200 if you if you do not know the exact name which appears on your
certificate.
Fill in your telephone number Telephone:
and telecopier number........................... -------------------
Telecopier:
-------------------
Fill in your Social Security Number(s)
or Federal Tax I.D. Numbers..................... ###-##-####
-----------
-6-
