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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
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Advanced Energy Industries, Inc.
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(Name of Issuer)
Common Stock, $0.001 par value
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(Title of Class of Securities)
007973 10 0
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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 the disclosures provided in a prior page.
The information required in 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).
(Continued on following page(s))
Page 1 of 7
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CUSIP No. 007973 10 0 13G Page 2 of 7 Pages
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(1) Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
G. Brent Backman
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(2) Check the Appropriate Box if a Member (a) / /
of a Group* (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 1,887,000 shares
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With 0 shares
--------------------------------------------------
(7) Sole Dispositive Power
1,887,000 shares
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(8) Shared Dispositive Power
0 shares
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,887,000 shares
- -------------------------------------------------------------------------------
(10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares*
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
8.8%
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(12) Type of Reporting Person*
IN
- -------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP No. 007973 10 0 13G Page 3 of 7 Pages
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(1) Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
Karen Backman
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group* (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 546,000 shares
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With 0 shares
--------------------------------------------------
(7) Sole Dispositive Power
546,000 shares
--------------------------------------------------
(8) Shared Dispositive Power
0 shares
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
546,000 shares
- -------------------------------------------------------------------------------
(10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares*
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
2.5%
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(12) Type of Reporting Person*
IN
- -------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
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ITEM 1(A). NAME OF ISSUER
ADVANCED ENERGY INDUSTRIES, INC.
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ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES
ADVANCED ENERGY INDUSTRIES, INC.
1625 SHARP POINT DRIVE
FORT COLLINS, CO 80525
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ITEM 2(A). NAME OF PERSON(S) FILING
G. BRENT BACKMAN AND KAREN BACKMAN
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ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE
The principal business office for G. Brent Backman is:
ADVANCED ENERGY INDUSTRIES, INC.
1625 SHARP POINT DRIVE
FORT COLLINS, CO 80525
The residence address for Karen Backman is:
946 LOCHLAND COURT
FORT COLLINS, CO 80524
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ITEM 2(C). CITIZENSHIP
G. BRENT BACKMAN AND KAREN BACKMAN ARE CITIZENS OF THE UNITED
STATES
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ITEM 2(D). TITLE OF CLASS OF SECURITIES
COMMON STOCK, $0.001 PAR VALUE
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ITEM 2(E). CUSIP NUMBER
007973 10 0
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ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b)
NOT APPLICABLE
Page 4 of 7
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ITEM 4. OWNERSHIP
(a) Amount Beneficially Owned:
G. BRENT BACKMAN 1,887,000 SHARES
KAREN BACKMAN 546,000 SHARES
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(b) Percent of Class:
G. BRENT BACKMAN 8.8%
KAREN BACKMAN 2.5%
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(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote
G. BRENT BACKMAN 1,887,000 SHARES
KAREN BACKMAN 546,000 SHARES
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(ii) shared power to vote or to direct the vote
G. BRENT BACKMAN 0 SHARES
KAREN BACKMAN 0 SHARES
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(iii) sole power to dispose or to direct the disposition of
G. BRENT BACKMAN 1,887,000 SHARES
KAREN BACKMAN 546,000 SHARES
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(iv) shared power to dispose or to direct the disposition of
G. BRENT BACKMAN 0 SHARES
KAREN BACKMAN 0 SHARES
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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
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Page 5 of 7
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ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED
THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY
NOT APPLICABLE
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ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
NOT APPLICABLE
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ITEM 9. NOTICE OF DISSOLUTION OF GROUP
NOT APPLICABLE
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ITEM 10. CERTIFICATION
NOT APPLICABLE
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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.
January 29, 1997
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(Date)
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G. Brent Backman
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Karen Backman
Statement Filed Pursuant to Rule 13d-1(f)(iii)
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This Schedule 13G is filed on behalf of G. Brent Backman and Karen
Backman. Their agreement that this Schedule 13G is filed on behalf of each
of them is attached hereto as EXHIBIT A.
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G. Brent Backman Karen Backman
Page 6 of 7
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EXHIBIT A
G. Brent Backman and Karen Backman agree that the foregoing Schedule 13G
is filed on behalf of each of them. Each of G. Brent Backman and Karen
Backman is individually eligible to use the Schedule 13G. Each of G. Brent
Backman and Karen Backman acknowledges that he or she is responsible for the
timely filing of their Schedule 13G, and any amendments thereto, and for the
completeness and accuracy of the information concerning such person therein.
/s/ G. BRENT BACKMAN /s/ KAREN BACKMAN
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G. Brent Backman Karen Backman
Page 7 of 7
