<PAGE> 1
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 8)
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)
April 13, 1999 *
-----------------------------------
(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. [ ]
*See Item 4 on Page 18.
<PAGE> 2
SCHEDULE 13D
- ----------------------------------------- -------------------------------------
CUSIP NO. 00753C 10 2 PAGE 2 OF 21
- ----------------------------------------- -------------------------------------
(AMENDMENT NO. 8)
- ------------ ------------------------------------------------------------------
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 he is the Voting Trustee under the Amended and
Restated Voting Trust Agreement dated April 15, 1999.
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) [ ]
- ------------ ------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ----------------------------------------------- --------- ---------------------
7 SOLE VOTING POWER
NUMBER OF 3,932,468
SHARES --------- --------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING 0
PERSON --------- --------------------------
WITH 9 SOLE DISPOSITIVE POWER
1,928,070
--------- --------------------------
10 SHARED DISPOSITIVE POWER
0
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,965,079
- ------------ ------------------------------------------------------------------
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. Mr. Hellman also
disclaims beneficial ownership of 32,611 shares which are owned by
his wife, Diane Hellman.
- ------------ ------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
19.5%
- ------------ -----------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ ------------------------------------------------------------------
<PAGE> 3
SCHEDULE 13D
- ------------------------------------------- -----------------------------------
CUSIP NO. 00753C 10 2 PAGE 3 OF 21
- ------------------------------------------ -----------------------------------
(AMENDMENT NO. 8)
- ------------ ------------------------------------------------------------------
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
296,917
-------- -----------------------------
10 SHARED DISPOSITIVE POWER
0
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
296,917
- ------------ ------------------------------------------------------------------
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)
1.5%
- ------------ ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ ------------------------------------------------------------------
<PAGE> 4
SCHEDULE 13D
- ----------------------------------------- -------------------------------------
CUSIP NO. 00753C 10 2 PAGE 4 OF 21
- ------------------------------------------------------------------------------
(AMENDMENT NO. 8)
- ------------ ------------------------------------------------------------------
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 51,602
SHARES -------- ---------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING 0
PERSON -------- ---------------------------
WITH 9 SOLE DISPOSITIVE POWER
306,000
------- ----------------------------
10 SHARED DISPOSITIVE POWER
0
- ---------------------------- --------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
306,000
- ------------ -------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
Mr. Roller disclaims beneficial ownership of 70,414 shares owned
by six trusts for the benefit of his children.
- ------------ ------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.5%
- ------------ ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ -------------------------------------------------------------------
<PAGE> 5
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 00753C 10 2 PAGE 5 OF 21
- -------------------------------------------------------------------------------
(AMENDMENT NO. 8)
- ------------ -------------------------------------------------------------------
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 20,000
SHARES -------- ---------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING 0
PERSON -------- ---------------------------
WITH 9 SOLE DISPOSITIVE POWER
350,874
------- ----------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ -------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
350,874
- ------------ -------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
- ------------ -------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.7%
- ------------ -------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ -------------------------------------------------------------------
<PAGE> 6
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 00753C 10 2 PAGE 6 OF 21
- -------------------------------------------------------------------------------
(AMENDMENT NO. 8)
- ------------ ------------------------------------------------------------------
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 8 SHARED VOTING POWER
REPORTING 0
PERSON -------- ---------------------------
WITH 9 SOLE DISPOSITIVE POWER
268,917
------- ----------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ -------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
268,917
- ------------ -------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
- ------------ -------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.3%
- ------------ -------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ------------ -------------------------------------------------------------------
<PAGE> 7
SCHEDULE 13D
- --------------------------------------------------------------------------------
CUSIP NO. 00753C 10 2 PAGE 7 OF 21
- --------------------------------------------------------------------------------
(AMENDMENT NO. 8)
- ------------ -----------------------------------------------------------------
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 10,000
SHARES -------- ---------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING 0
PERSON -------- ---------------------------
WITH 9 SOLE DISPOSITIVE POWER
316,377
------- ----------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ ------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
316,377
- ------------ ------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
- ------------ ------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.6%
- ------------ ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ ------------------------------------------------------------------
<PAGE> 8
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 00753C 10 2 PAGE 8 OF 21
- -------------------------------------------------------------------------------
(AMENDMENT NO. 8)
- ------------ ------------------------------------------------------------------
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 17,500
SHARES -------- ---------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING 0
PERSON -------- ---------------------------
WITH 9 SOLE DISPOSITIVE POWER
172,762
------- ----------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
172,762
- ------------ -------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
- ------------ -------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.9%
- ------------ -------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ -------------------------------------------------------------------
<PAGE> 9
SCHEDULE 13D
- --------------------------------------------------------------------------------
CUSIP NO. 00753C 10 2 PAGE 9 OF 21
- --------------------------------------------------------------------------------
(AMENDMENT NO. 8)
- ------------ -----------------------------------------------------------------
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 375
SHARES -------- ---------------------------
BENEFICIALLY OWNED BY EACH 8 SHARED VOTING POWER
REPORTING 0
PERSON -------- ---------------------------
WITH 9 SOLE DISPOSITIVE POWER
146,614
------- ----------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ -------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
146,614
- ------------ -------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
- ------------ -------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.7%
- ------------ -------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
- ------------ -------------------------------------------------------------------
<PAGE> 10
SCHEDULE 13D
- --------------------------------------------------------------------------------
CUSIP NO. 00753C 10 2 PAGE 10 OF 21
- --------------------------------------------------------------------------------
(AMENDMENT NO. 8)
- ------------ -----------------------------------------------------------------
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
4,708
------- ----------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ -------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,708
- ------------ -------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
- ------------ -------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.0%
- ------------ -------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ------------ -------------------------------------------------------------------
<PAGE> 11
SCHEDULE 13D
- --------------------------------------------------------------------------------
CUSIP NO. 00753C 10 2 PAGE 11 OF 21
- --------------------------------------------------------------------------------
(AMENDMENT NO. 8)
- ------------ -----------------------------------------------------------------
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
4,208
------- ----------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------ -------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,208
- ------------ -------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
- ------------ -------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.0%
- ------------ -------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ------------ -------------------------------------------------------------------
<PAGE> 12
SCHEDULE 13D
- --------------------------------------------------------------------------------
CUSIP NO. 00753C 10 2 PAGE 12 OF 21
- --------------------------------------------------------------------------------
(AMENDMENT NO. 8)
- ------------ -----------------------------------------------------------------
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)
0.0%
- ------------ ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
<PAGE> 13
SCHEDULE 13D
- --------------------------------------------------------------------------------
CUSIP NO. 00753C 10 2 PAGE 13 OF 21
- --------------------------------------------------------------------------------
(AMENDMENT NO. 8)
- ------------ -----------------------------------------------------------------
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)
0.0%
- ------------ ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
<PAGE> 14
SCHEDULE 13D
- --------------------------------------------------------------------------------
CUSIP NO. 00753C 10 2 PAGE 14 OF 21
- --------------------------------------------------------------------------------
(AMENDMENT NO. 8)
- ------------ -----------------------------------------------------------------
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)
0.0%
- ------------ -------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ------------ -------------------------------------------------------------------
<PAGE> 15
SCHEDULE 13D
- --------------------------------------------------------------------------------
CUSIP NO. 00753C 10 2 PAGE 15 OF 21
- --------------------------------------------------------------------------------
(AMENDMENT NO. 8)
- ------------ -----------------------------------------------------------------
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)
0.0%
- ------------ -------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ------------ -------------------------------------------------------------------
<PAGE> 16
CUSIP NO. 00753C 10 2 PAGE 16 OF 21
AMENDMENT NO. 8
SCHEDULE 13D
ITEM 1. SECURITY AND ISSUER
The class of securities to which this statement relates is Common
Stock, par value $.001 (the "Common Stock"). The name and address of the
principal executive office of the issuer is Advanced Lighting Technologies, Inc.
(the "Company"), 32000 Aurora Road, Solon, Ohio 44139.
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 Amended and
Restated Voting Trust Agreement dated April 15, 1999 (the
"Voting Trust") the following members of the Voting Trust
Group: 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 Louis S.
Fisi ("Fisi"), Robert S. Roller ("Roller"), Juris Sulcs
("Sulcs") 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
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, Roller, Sulcs and
Brian Hellman is 32000 Aurora Road, Solon, Ohio 44139. The
address of Christine Hellman is 17230 Red Fox Trail, Chagrin
Falls, Ohio 44023. The address of Lisa B. Hellman is 2644
Bronsons Way, Twinsburg, Ohio 44087. 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 c/o
National City Bank, Trustee, Trust Probate Division, P.O.
Box 5756, Cleveland, Ohio 44101.
c. The following are the present principal occupations and
addresses of employment of the reporting persons:
<PAGE> 17
CUSIP NO. 00753C 10 2 PAGE 17 OF 21
<TABLE>
<CAPTION>
Name: Occupation: Address:
- ----- ----------- --------
<S> <C> <C>
Hellman Chief Executive Officer Issuer (address is specified in Item 1)
Members of the Voting Trust Group:
Fisi Executive Vice President, Issuer (address is specified in Item 1)
Secretary
Roller Coordinator of Market Venture Lighting International, Inc.
Development (address is specified in Item 1)
Sulcs Coordinator of Technology Venture Lighting International, Inc.
Development (address is specified in Item 1)
Estate of Sarver Not Applicable c/o National City Bank, Trustee
Trust Probate Division
P.O. Box 5756
Cleveland, Ohio 44101
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 Administration 2644 Bronsons Way
Twinsburg, Ohio 44087
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
</TABLE>
<PAGE> 18
CUSIP NO. 00753C 10 2 PAGE 18 OF 21
d. No change is being reported.
e. No change is being reported.
f. No change is being reported.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Amendment No. 8 reports a decrease in the number of shares
beneficially owned.
ITEM 4. PURPOSE OF TRANSACTION
Amendment No. 8 reports a decrease in the number of shares of Common
Stock beneficially owned by Messrs. Hellman and Fisi resulting from sales by Mr.
Fisi between October 23, 1998 and February 19, 1999. Amendment No. 8 reports a
decrease in the shares beneficially owned by Mr. Hellman resulting from shares
gift transferred by Juris Sulcs to certain of his relatives on February 11,
1999. Amendment No. 8 also reports the release of shares from the Voting Trust
Group owned by Mr. David L. Jennings as of April 13, 1999. Amendment No. 8
reports an increase in the number of shares beneficially owned by Mr. Robert
S. Roller resulting from a purchase of shares.
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 May 5, 1999:
<TABLE>
<CAPTION>
#Shares
Aggregate # # Shares #Shares Right to # Shares Sole # Shares Sole
Name Shares Owned % Owned Disposed Acquired Acquire Power to Vote Power to Dispose
- ---- ----------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Hellman (2) 3,965,079 19.5% 0 0 0 3,932,468 1,928,070
Fisi (1) 296,917 1.5% 124,000 0 0 0 296,917
Estate of Sarver (1) 268,917 1.3% 0 0 0 0 268,917
Sulcs (1)(3) 350,874 1.7% 6,153 0 0 20,000 350,874
Roller (1)(4) 306,000 1.5% 0 25,602 0 51,602 306,000
Christine Hellman (1)(5) 316,377 1.6% 0 0 0 10,000 316,377
Brian A. Hellman (1)(6) 172,762 .9% 0 0 7,500 17,500 172,762
Lisa B. Hellman (1)(7) 146,614 .7% 0 0 375 375 146,614
LMR Trust (1) 4,708 0.0% 0 0 0 0 4,708
JLJ Trust (1) 4,208 0.0% 0 0 0 0 4,208
KJR Trust (1) 9,708 0.0% 0 0 0 0 9,708
</TABLE>
<PAGE> 19
CUSIP NO. 00753C 10 2 PAGE 19 OF 21
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C>
LMR Long
Term Trust (1) 17,261 0.0% 0 0 0 0 17,261
JLJ Long
Term Trust (1) 17,261 0.0% 0 0 0 0 17,261
KJR Long
Term Trust (1) 17,268 0.0% 0 0 0 0 17,268
</TABLE>
(1) 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).
(2) Wayne Hellman beneficially owns 1,928,070 shares in his individual
capacity.
(3) Juris Sulcs beneficially owns 20,000 shares which are not subject
to the Voting Trust.
(4) Roller beneficially owns 51,602 shares which are not subject to the
voting trust.
(5) Christine Hellman beneficially owns 10,000 shares which are not
subject to the Voting Trust.
(6) Brian Hellman beneficially owns 17,500 shares which are not subject
to the Irrevocable Proxy.
(7) Lisa B. Hellman beneficially owns 375 shares which are not subject
to the Voting Trust.
None of the above persons share voting power with respect to any
shares.
d. No change is being reported.
e. No change is being reported.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER.
No change is being reported.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
1. The form of the Voting Trust Agreement, as amended, and form of the
Irrevocable Proxy are hereby incorporated by reference from the Amendment No. 2
to schedule 13D filed via EDGAR on June 24, 1996.
2. The form of the Loan Agreement by and between Advanced Lighting
Technologies, Inc. and Wayne R. Hellman in the principal amount of $9,000,000
and dated as of October 8, 1998 is hereby incorporated by reference from the
Amendment No. 7 to Schedule 13D filed via EDGAR on October 23, 1998.
<PAGE> 20
CUSIP NO. 00753C 10 2 PAGE 20 OF 21
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: May 12, 1999 /s/ Wayne R. Hellman
------------------------------
WAYNE R. HELLMAN*
Date: May 12, 1999 /s/ Louis S. Fisi
------------------------------
LOUIS S. FISI**
Date: May 12, 1999 /s/ Robert S. Roller
------------------------------
ROBERT S. ROLLER**
Date: May 12, 1999 /s/ Juris Sulcs
------------------------------
JURIS SULCS**
Date: April 15, 1999 /s/ Christine Hellman
------------------------------
CHRISTINE HELLMAN**
Date: May 12, 1999 /s/ Brian A. Hellman
------------------------------
BRIAN A. HELLMAN**
Date: May 12, 1999 /s/ Lisa B. Hellman
------------------------------
LISA B. HELLMAN**
/s/ NATIONAL CITY BANK, as Executor of the
Estate of James F. Sarver
Date: April 16, 1999 By: A. S. Carnahan, VICE PRESIDENT
-----------------------------------
By: A.S. Carnahan, Vice President
ON BEHALF OF THE ESTATE
OF JAMES F. SARVER**
- ----------------------
* Member of Voting Trust Group only as to certain shares of which Hellman is
voting trustee.
** Member of the Voting Trust Group.
(1) Mr. David L. Jennings did not sign this Amendment No. 8 to Schedule 13D.
<PAGE> 21
CUSIP NO. 00753C 10 2 PAGE 21 OF 21
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this Schedule 13D statement is true,
complete and correct.
<TABLE>
<S> <C>
Date: May 12, 1999 /s/ Robert S. Roller
------------------------------------------
ROBERT S. ROLLER AS CO-TRUSTEE OF THE LISA MARIE
ROLLER TRUST DATED AUGUST 24, 1995**
Date: May 12, 1999 /s/ Robert S. Roller
------------------------------------------
ROBERT S. ROLLER AS CO-TRUSTEE OF THE JENNIFER
LYNN JARRETT TRUST DATED AUGUST 24, 1995**
Date: May 12, 1999 /s/ Robert S. Roller
------------------------------------------
ROBERT S. ROLLER AS CO-TRUSTEE OF THE KIMBERLY
JOY ROLLER TRUST DATED AUGUST 24, 1995**
Date: May 12, 1999 /s/ Robert S. Roller
------------------------------------------
ROBERT S. ROLLER CO-TRUST FOR THE LISA MARIE
ROLLER LONG TERM TRUST DATED SEPTEMBER 24, 1995**
Date: May 12, 1999 /s/ Robert S. Roller
------------------------------------------
ROBERT S. ROLLER, CO-TRUSTEE FOR THE JENNIFER
LYNN JARRETT LONG TERM TRUST DATED SEPTEMBER 24, 1995**
Date: May 12, 1999 /s/ Robert S. Roller
------------------------------------------
ROBERT S. ROLLER, CO-TRUSTEE OF THE
KIMBERLY JOY ROLLER LONG TERM TRUST DATED SEPTEMBER 24, 1995**
</TABLE>
- -----------------------
* Member of Voting Trust Group only as to certain shares of which Hellman is
voting trustee.
** Member of the Voting Trust Group.
