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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. )*
Advanced Energy Industries, Inc.
Common Stock, $0.001 par value
007973 10 0
November 4, 2003
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o Rule 13d-1 (b)
o 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 the disclosures provided in a prior cover 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 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).
| 13G | ||||||
| CUSIP No. 007973 10 0 | Page 2 of 5 | |||||
| 1. | Name of Reporting Person: Douglas S. Schatz & Jill E. Schatz Family Trust |
I.R.S. Identification Nos. of above persons (entities only): |
||||
| 2. | Check the Appropriate Box if a Member of a Group: | |||||
| (a) | o | |||||
| (b) | o | |||||
| 3. | SEC Use Only: | |||||
| 4. | Citizenship or Place of Organization: WYOMING |
|||||
| Number of Shares Beneficially Owned by Each Reporting Person With | ||||||
| 5. | Sole Voting Power: 10,657,782 | |||||
| 6. | Shared Voting Power: 150,000 | |||||
| 7. | Sole Dispositive Power: 10,657,782 | |||||
| 8. | Shared Dispositive Power: 150,000 | |||||
| 9. | Aggregate
Amount Beneficially Owned by Each Reporting Person: 10,807,782 |
|||||
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares: o |
|||||
| 11. | Percent of Class Represented by Amount in Row (9): 33.2% | |||||
| 12. | Type of Reporting Person: OO | |||||
PAGE 2 OF 5
| Item 1(a) | Name of Issuer | |
| Advanced Energy Industries, Inc. | ||
| Item 1(b) | Address of Issuer’s Principal Executive Offices | |
| 1625 Sharp Point Drive | ||
| Fort Collins, CO 80525 | ||
| Item 2(a) | Names of Person Filing | |
| Douglas S. Schatz & Jill E. Schatz Family Trust | ||
| Item 2(b) | Address of Principal Business Office or, if None, Residence | |
| c/o Lochland Management Company | ||
| 1 Old Town Square, Suite 302 | ||
| Fort Collins, CO 80525 | ||
| Item 2(c) | Citizenship | |
| Wyoming | ||
| Item 2(d) | Title of Class of Securities | |
| Common Stock, $0.001 par value | ||
| Item 2(e) | CUSIP Number | |
| 007973 10 0 | ||
| Item 3. | If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b) or (c), check whether the person filing is a: | |
| Not applicable | ||
| Item 4. | Ownership |
| (a) | Amount Beneficially Owned: | |||
| 10,807,782 shares | ||||
| (b) | Percent of Class: | |||
| 33.2 % |
PAGE 3 OF 5
| (c) | Number of shares as to which such person has: | |||||||
| (i) | sole power to vote or to direct the vote: | 10,657,782 | ||||||
| (ii) | shared power to vote or to direct the vote: | 150,000** | ||||||
| (iii) | sole power to dispose or to direct the disposition of: | 10,657,782 | ||||||
| (iv) | shared power to dispose or to direct the disposition of: | 150,000** | ||||||
| ** Mr. Schatz is a trustee of a charitable foundation that is the record holder of 150,000 shares of common stock of the issuer. The three other trustees of the charitable foundation are members of Mr. Schatz’ immediate family. Accordingly, Mr. Schatz may be deemed to share with the other trustees voting and dispositive power with respect to the charitable foundation’s 150,000 shares. Mr. Schatz disclaims beneficial ownership of the shares held by the charitable foundation. | ||||||||
| 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 By the Parent Holding Company | |
| Not applicable | ||
| 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 |
PAGE 4 OF 5
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: February 6, 2004 | DOUGLAS S. SCHATZ & JILL E. SCHATZ FAMILY TRUST |
|||
| By: | /s/ Douglas S. Schatz, Trustee | |||
| By: | /s/ Jill E. Schatz, Trustee | |||
PAGE 5 OF 5