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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 5
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CUSIP No. 007973 10 0 13G Page 2 of 5 Pages
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(1) Names of Reporting Persons.
S.S. or I.R.S. Identification Nos. of Above Persons
Douglas S. Schatz
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(2) Check the Appropriate Box if a Member of a Group* (a) / /
(b) / /
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(3) SEC Use Only
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(4) Citizenship or Place of Organization
United States
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Number of Shares (5) Sole Voting Power
Beneficially 13,162,300 shares
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With 0 shares
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(7) Sole Dispositive Power
13,162,300 shares
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(8) Shared Dispositive Power
0 shares
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(9) Aggregate Amount Beneficially Owned by Each Reporting Person
13,162,300 shares
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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)
61.9%
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(12) Type of Reporting Person*
IN
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*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
DOUGLAS S. SCHATZ
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ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE
ADVANCED ENERGY INDUSTRIES, INC.
1625 SHARP POINT DRIVE
FORT COLLINS, CO 80525
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ITEM 2(C). CITIZENSHIP
DOUGLAS S. SCHATZ IS A CITIZEN 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),
CHECK WHETHER THE PERSON FILING IS A
Not applicable
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ITEM 4. OWNERSHIP
(a) AMOUNT BENEFICIALLY OWNED:
13,162,300 shares
(b) PERCENT OF CLASS
61.9%
Page 3 of 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
13,162,300 shares
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(ii) shared power to vote or to direct the vote
0 shares
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(iii) sole power to dispose or to direct the disposition of
13,162,300 shares
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(iv) shared power to dispose or to direct the disposition of
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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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
Page 4 of 5
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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.
/s/ DOUGLAS S. SCHATZ
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Douglas S. Schatz
Page 5 of 5
