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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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SCHEDULE 13G
(RULE 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES
13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b)
(AMENDMENT NO. _____________)*
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)
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(Date of Event Which Requires Filing of This Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
*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 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).
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CUSIP NO. 269151-10-6 13G PAGE 1 OF 5 PAGES
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(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
ANNIE M.H. CHAN
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ] (1)
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(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
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(5) SOLE VOTING POWER
NUMBER OF 11,533,402
SHARES -----------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 0
EACH -----------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH 11,533,402
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(8) SHARED DISPOSITIVE POWER
0
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,758,402(2)
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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
28.6% BASED ON 40,848,948 TOTAL SHARES OUTSTANDING AS OF
DECEMBER 31, 1998
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(12) TYPE OF REPORTING PERSON*
IN
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(1) Mrs. Annie M.H. Chan and Mr. Fred S.L Chan are married to each other.
(2) Includes an option to purchase 225,000 shares of ESS Technology Common Stock
held by Fred Chan.
*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 269151-10-6 13G PAGE 2 OF 5 PAGES
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(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
FRED S.L. CHAN
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ] (1)
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(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
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(5) SOLE VOTING POWER
NUMBER OF 225,000
SHARES -----------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 0
EACH -----------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH 225,000
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(8) SHARED DISPOSITIVE POWER
0
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,758,402(2)
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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
28.6% BASED ON 40,848,948 TOTAL SHARES OUTSTANDING AS OF
DECEMBER 31, 1998
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(12) TYPE OF REPORTING PERSON*
IN
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(1) Mr. Fred S.L. Chan and Mrs. Annie M.H. Chan are married to each other.
(2) Includes 900,000 shares of ESS Technology Common Stock held by Annie Chan,
10,629,652 shares held by Annie Chan Living Trust and an option held by
Annie Chan and exercisable on or before March 1, 1999 to buy 3,750 shares of
ESS Technology Common Stock.
*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 269151-10-6 13G PAGE 3 OF 5 PAGES
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ITEM 1(a). NAME OF ISSUER:
ESS Technology, Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
48401 Fremont Blvd., Fremont, CA 94538
ITEM 2(a). NAME OF PERSON FILING:
(1) Annie M.H. Chan
(2) Fred S.L. Chan
ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
48401 Fremont Blvd., Fremont, CA 94538
ITEM 2(c). CITIZENSHIP:
U.S.A.
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
Common Stock
ITEM 2(e). CUSIP NUMBER:
269151-10-6
ITEM 3. STATUS OF PERSON FILING:
NOT APPLICABLE
ITEM 4. OWNERSHIP
(a) AMOUNT BENEFICIALLY OWNED:
(1) AMOUNT BENEFICIALLY OWNED BY MRS. CHAN: 11,758,402 (This
number includes 225,000 shares issuable upon exercise of
options held by Mrs. Chan's spouse on or before March 1,
1999.)
(2) AMOUNT BENEFICIALLY OWNED BY MR. CHAN: 11,758,402 (This
number includes 900,000 shares of ESS Technology Common
Stock held by Mr. Chan's spouse, Annie Chan, 10,629,652
shares held by Annie Chan Living Trust, and an option held
by Annie Chan and exercisable on or before March 1, 1999 to
buy 3,750 shares of ESS Technology Common Stock.)
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CUSIP NO. 269151-10-6 13G PAGE 4 OF 5 PAGES
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(b) PERCENT OF CLASS: (based on 40,848,948 shares outstanding as of
December 31, 1998)
(1) Percent of Class Beneficially Owned by Mrs. Chan: 28.6%
(2) Percent of Class Beneficially Owned by Mr. Chan: 28.6%
(c) (1) THE NUMBER OF SHARES AS TO WHICH MRS. CHAN HAS:
(i) sole power to vote or direct the vote:
<TABLE>
<S> <C>
Directly owned: 900,000
Owned through Annie M.H. Chan Living Trust: 10,629,652
Options held by Mrs. Chan that are exercisable by March 1, 1999: 3,750
Total: 11,533,402 shares
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</TABLE>
(ii) shared power to a vote or to direct the vote: -0-
(iii) sole power to dispose or to direct the disposition of:
<TABLE>
<S> <C>
Directly owned: 900,000
Owned through Annie M.H. Chan Living Trust: 10,629,652
Options held by Mrs. Chan that are exercisable by March 1, 1999: 3,750
Total: 11,533,402 shares
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</TABLE>
(iv) shared power to dispose or to direct the disposition
of: -0-
(c) (2) THE NUMBER OF SHARES AS TO WHICH MR. CHAN HAS:
(i) sole power to vote or direct the vote: 225,000 (Option held
by Mr. Chan that is exercisable by March 1, 1999)
(ii) shared power to a vote or to direct the vote -0-
(iii) sole power to dispose or to direct the disposition of:
225,000 (Option held by Mr. Chan that is exercisable by
March 1, 1999)
(iv) shared power to dispose or to direct the disposition of: -0-
ITEM 5. OWNERSHIP OF 5% OR LESS OF A CLASS.
Not applicable
ITEM 6. OWNERSHIP OF MORE THAN 5% ON BEHALF OF ANOTHER PERSON.
See description of ownership described in Item 4
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
Not applicable
30
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CUSIP NO. 269151-10-6 13G PAGE 5 OF 5 PAGES
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ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:
Not applicable
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Not applicable
ITEM 10. CERTIFICATION.
Not applicable
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date:
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Annie M.H. Chan
Date:
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Fred S.L. Chan
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is signed
on behalf of a person by his authorized representative other than an executive
officer or general partner of the filing person, evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement, provided, however, that a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE
FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)
