-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BDeHQfZa3WUhH9v9RLX7/oGRtn+OVunZE8qnzIFImHswXmDuKVLBEHPBZ7MmYoP3 WQ106kExRx4/mp7KlVWN6A== 0000950152-97-000941.txt : 19970222 0000950152-97-000941.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950152-97-000941 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED INNOVATION INC CENTRAL INDEX KEY: 0000798399 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 311177192 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49719 FILM NUMBER: 97530655 BUSINESS ADDRESS: STREET 1: 5800 INNOVATION DRIVE CITY: DUBLIN STATE: OH ZIP: 43017 BUSINESS PHONE: 6147982000 MAIL ADDRESS: STREET 1: 5800 INNOVATION DRIVE CITY: DUBLIN STATE: OH ZIP: 43016 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MOERSDORF LINDA S CENTRAL INDEX KEY: 0001033132 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: APPLIED INNOVATION INC STREET 2: 5800 INNOVATION DRIVE CITY: DUBLIN STATE: OH ZIP: 43017 BUSINESS PHONE: 6147982000 MAIL ADDRESS: STREET 1: APPLIED INNOVATION INC STREET 2: 5800 INNOVATION DRIVE CITY: DUBLIN STATE: OH ZIP: 43017 SC 13G/A 1 APPLIED INNOVATION/ LINDA MOERSDORF 1 OMB APPROVAL --------------------------- OMB Number: 3235-0145 Expires: October 31, 1997 Estimated average burden hours per response....14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 4 )* Applied Innovation Inc. ----------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value ----------------------------------------------------------------------------- (Title of Class of Securities) 037916 10 3 ---------------------------------------- (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 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 ("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 1745 (2-95) Page 1 of 8 Pages 2 13G CUSIP NO. 037916 10 3 PAGE ____OF____PAGES - ----------------------------------------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | Gerard B. Moersdorf, Jr. | | | ###-##-#### | |-----|---------------------------------------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | ---- | | | (b) [ ] | | | ---- | |-----|---------------------------------------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |-----|---------------------------------------------------------------------------------------------------| | 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | United States of America | | | | |-------------------------------|-------|-----------------------------------------------------------------| | NUMBER OF | 5 | SOLE VOTING POWER | | | | 5,558,188 | | SHARES | | | | |-------|-----------------------------------------------------------------| | BENEFICIALLY | 6 | SHARED VOTING POWER | | | | 183,000 | | OWNED BY | | | | |-------|-----------------------------------------------------------------| | EACH | 7 | SOLE DISPOSITIVE POWER | | | | | | REPORTING | | 5,558,188 | | | | | | PERSON |-------|-----------------------------------------------------------------| | | 8 | SHARED DISPOSITIVE POWER | | WITH | | 183,000 | | | | | |-------------------------------|-------|-----------------------------------------------------------------| | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 5,741,188 | |-----|---------------------------------------------------------------------------------------------------| | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | | | Gerard B. Moersdorf, Jr. expressly disclaims beneficial ownership of 775,716 shares | | | held by his spouse | |-----|---------------------------------------------------------------------------------------------------| | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | | | 36.4% | | | | |-----|---------------------------------------------------------------------------------------------------| | 12 | TYPE OF REPORTING PERSON* | | | IN | | | | - ----------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 8 Pages
3 13G CUSIP NO. 037916 10 3 PAGE ____OF____PAGES - ----------------------------------------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | Linda S. Moersdorf | | | ###-##-#### | |-----|---------------------------------------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | ---- | | | (b) [ ] | | | ---- | |-----|---------------------------------------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |-----|---------------------------------------------------------------------------------------------------| | 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | United Kingdom | | | | |-------------------------------|-------|-----------------------------------------------------------------| | NUMBER OF | 5 | SOLE VOTING POWER | | | | 775,716 | | SHARES | | | | |-------|-----------------------------------------------------------------| | BENEFICIALLY | 6 | SHARED VOTING POWER | | | | 183,000 | | OWNED BY | | | | |-------|-----------------------------------------------------------------| | EACH | 7 | SOLE DISPOSITIVE POWER | | | | | | REPORTING | | 775,716 | | | | | | PERSON |-------|-----------------------------------------------------------------| | | 8 | SHARED DISPOSITIVE POWER | | WITH | | 183,000 | | | | | |-------------------------------|-------|-----------------------------------------------------------------| | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 994,716 | |-----|---------------------------------------------------------------------------------------------------| | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | | | Linda S. Moersdorf expressly disclaims beneficial ownership of 5,558,188 shares | | | held by her spouse | |-----|---------------------------------------------------------------------------------------------------| | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 | | | 6.3% | | | | |-----|---------------------------------------------------------------------------------------------------| | 12 | TYPE OF REPORTING PERSON* | | | IN | | | | - ----------------------------------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 8 Pages
4 SCHEDULE 13G ITEM 1. (a) Name of Issuer: Applied Innovation Inc. (b) Address of Issuer's Principal Executive Offices: Applied Innovation Inc. 5800 Innovation Drive Dublin, Ohio 43017 ITEM 2. (a) Name of Persons Filing: (i) Gerard B. Moersdorf, Jr. (ii) Linda S. Moersdorf (b) Address of Principal Business Office, or, if none, Residence: (i) Gerard B. Moersdorf, Jr. Applied Innovation Inc. 5800 Innovation Drive Dublin, Ohio 43017 (ii) Linda S. Moersdorf 6976 Constitution Place Worthington, Ohio 43085 (c) Citizenship: Gerard B. Moersdorf, Jr. is a citizen of the United States of America, and Linda S. Moersdorf is a citizen of the United Kingdom (d) Title of Class of Securities: Common Stock, $.01 par value (e) CUSIP Number: 037916 10 3 Page 4 of 7 5 ITEM 3. Item 3 is not applicable ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: (i) Gerard B. Moersdorf, Jr.: 5,741,188 shares Gerard B. Moersdorf, Jr. expressly disclaims beneficial ownership of 775,716 shares held directly by his spouse, Linda S. Moersdorf, and 36,000 shares subject to stock options held by his spouse, Linda S. Moersdorf (ii) Linda S. Moersdorf: 994,716 Linda S. Moersdorf expressly disclaims beneficial ownership of 5,558,188 shares held directly by her spouse, Gerard B. Moersdorf, Jr. (b) Percent of Class: (i) Gerard B. Moersdorf, Jr.: 36.4% (ii) Linda S. Moersdorf: 6.3% (c) Number of Shares as to which such person has: (i) Sole power to vote or to direct the vote: (A) Gerard B. Moersdorf, Jr.: 5,558,188 shares (B) Linda S. Moersdorf: 775,716 shares (ii) Shares power to vote or to direct the vote: (A) Gerard B. Moersdorf, Jr.: 183,000 shares (B) Linda S. Moersdorf: 183,000 shares Page 5 of 7 6 (iii) Sole power to dispose or to direct the disposition of: (A) Gerard B. Moersdorf, Jr.: 5,558,188 shares (B) Linda S. Moersdorf: 775,716 shares (iv) Shared power to dispose or to direct the disposition of: (A) Gerard B. Moersdorf, Jr.: 183,000 shares (B) Linda S. Moersdorf: 183,000 shares ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Item 5 is not applicable ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Item 6 is not applicable ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Item 7 is not applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Item 8 is not applicable ITEM 9. NOTICE OF DISSOLUTION OF GROUP Item 9 is not applicable ITEM 10. CERTIFICATION Item 10 is not applicable Page 6 of 7 7 SIGNATURES 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. Dated: February 7, 1997 /s/ Gerard B. Moersdorf ------------------------------ Gerard B. Moersdorf, Jr. Dated: February 7, 1997 /s/ Linda S. Moersdorf ------------------------------ Linda S. Moersdorf Page 7 of 7 -----END PRIVACY-ENHANCED MESSAGE-----