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OMB APPROVAL
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OMB Number: 3235-0145
UNITED STATES Expires: October 31, 1994
SECURITIES AND EXCHANGE COMMISSION Estimated average burden
WASHINGTON, D.C. 20549 hours per response......14.90
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SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. )*
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ESS Technology, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
269151-10-6
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(CUSIP Number)
Check the following box if a fee is being paid with this statement / /. (A fee
is not required only if the filing person: (1) has a previous statement on file
reporting beneficial ownership of more than five percent of the class of
securities described in Item 1; and (2) has filed no amendment subsequent
thereto reporting beneficial ownership of five percent or less of such class.)
(See Rule 13d-7.)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
SEC 1746 (12-91)
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CUSIP NO. 269151-10-8 13G PAGE 2 OF 7 PAGES
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
THE DAVID Y.W. CHAN TRUST
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) X
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
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5 SOLE VOTING POWER
1,101,578
NUMBER OF
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SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
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EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 1,101,578
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8 SHARED DISPOSITIVE POWER
WITH
0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,101,578
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
2.83% , BASED ON 38,926,386 TOTAL SHARES OUTSTANDING AS OF
JANUARY 31, 1997.
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12 TYPE OF REPORTING PERSON*
OO
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*SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP NO. 269151-10-8 13G PAGE 3 OF 7 PAGES
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
THE EDWARD Y.C. CHAN TRUST
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) X
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
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5 SOLE VOTING POWER
1,101,576
NUMBER OF
----------------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
----------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 1,101,576
----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
WITH
0
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,101,576
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
2.83% , BASED ON 38,926,386 TOTAL SHARES OUTSTANDING AS OF
JANUARY 31, 1997.
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12 TYPE OF REPORTING PERSON*
OO
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*SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP NO. 269151-10-8 13G PAGE 4 OF 7 PAGES
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
THE MICHAEL Y.J. CHAN TRUST
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) X
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
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5 SOLE VOTING POWER
351,434
NUMBER OF
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SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
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EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 351,434
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8 SHARED DISPOSITIVE POWER
WITH
0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
351,434
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.9% , BASED ON 38,926,386 TOTAL SHARES OUTSTANDING AS OF
JANUARY 31, 1997.
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12 TYPE OF REPORTING PERSON*
OO
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*SEE INSTRUCTION BEFORE FILLING OUT!
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Page 5 of 7
Item 1(a) Name of Issuer.
ESS Technology, Inc.
Item 1(b) Address of Issuer's Principal Executive Offices.
48401 Fremont Boulevard
Fremont, CA 94538
Item 2(a) Names of Persons Filing.
The David Y.W. Chan Trust,
The Edward Y.C. Chan Trust,
The Michael Y.J. Chan Trust, and
Item 2(b) Address of Principal Business Office.
760 Mahogany Lane, Sunnyvale, CA 94086.
Item 2(c) Citizenship.
Each of The David Y.W. Chan Trust, The Edward Y.C. Chan
Trust, and The Michael Y.J. Chan Trust are California
Trusts.
Item 2(d) Title of Class of Securities.
Common Stock, no par value
Item 2(e) CUSIP Number.
269151-10-6
Item 3 If this statement is filed pursuant to Rule 13d-1(b), or
13d-2(b), check whether the person filing is a:
(a) ___ Broker Dealer registered under Section 15 of the Act
(b) ___ Bank as defined in Section 3(a)(6) of the Act
(b) ___ Insurance Company as defined in Section 3(a)(19)
of the Act
(c) ___ Investment Company registered under Section 8 of the
Investment Company Act
(d) ___ Investment Adviser registered under Section 203 of
the Investment Advisers Act of 1940
(e) ___ Employee Benefit Plan, Pension Fund which is subject
to the provisions of the Employee Retirement Income
Security Act of 1974 or Endowment Fund;
see Section 240.13d-1(b)(1)(ii)(F)
(f) ___ Parent Holding Company, in accordance with
Section 240.13d-1(b)(ii)(G) (Note: See Item 7)
(g) ___ Group, in accordance with Section 240.13d-1(b)(1)
(ii)(H)
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Page 6 of 7
Item 4. Ownership
(a) Amount Beneficially Owned 2,554,588
(b) Percent of Class 6.56%
(*based on 38,926,386 shares outstanding as of January 31, 1997)
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote 2,554,588
(ii) shared power to vote or to direct vote
(iii) sole power to dispose or to direct disposition of 2,554,588
(iv) shared power to dispose or to direct disposition of
Item 5. Ownership of Five Percent or Less of a Class.
not applicable
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
not applicable
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported On By the Parent Holding Company.
not applicable
Item 8. Identification and Classification of Members of the Group.
The David Y.W. Chan Trust (OO)
The Edward Y.C. Chan Trust (OO)
The Michael Y.J. Chan Trust (OO)
Item 9. Notice of Dissolution of the Group.
not applicable
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Page 7 of 7
Item 10. Certification.
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired in the ordinary course of
business and were not acquired for the purpose of and do not have the effect of
changing or influencing the control of the issuer of such securities and were
not acquired in connection with or as a participant in any transactions having
such purposes or effect.
After reasonable inquiry and to the best of my knowledge and believe, I
certify that the information set forth in this statement is true, complete and
correct.
Date: February 13, 1997 THE DAVID Y.W. CHAN TRUST
/S/ Sung Kook Kim
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Sung Kook Kim (as trustee
for the Chan family trusts)
THE EDWARD Y.C. CHAN TRUST
/S/ Sung Kook Kim
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Sung Kook Kim (as trustee
for the Chan family trusts)
THE MICHAEL Y.J. CHAN TRUST
/S/ Sung Kook Kim
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Sung Kook Kim (as trustee
for the Chan family trusts)
