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