-----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, OK1dlDAapBsd7gcttTytfDakTYBXSb4GA5GP35cgw3yWT3hmiUU1J2IzbKFt/5jV swnolu0vAYpAODkooXrzTA== 0000912057-97-005527.txt : 19970222 0000912057-97-005527.hdr.sgml : 19970222 ACCESSION NUMBER: 0000912057-97-005527 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NONE GROUP MEMBERS: BACKMAN GUSTAVE BRENT GROUP MEMBERS: KAREN BACKMAN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVANCED ENERGY INDUSTRIES INC CENTRAL INDEX KEY: 0000927003 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 840846841 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-50165 FILM NUMBER: 97535428 BUSINESS ADDRESS: STREET 1: 1625 SHARP POINT DR CITY: FT COLLINS STATE: CO ZIP: 80525 BUSINESS PHONE: 9702214670 MAIL ADDRESS: STREET 1: SHARP POINT DRIVE CITY: FORT COLLINS STATE: CO ZIP: 80525 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BACKMAN GUSTAVE BRENT CENTRAL INDEX KEY: 0001007703 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1625 SHARP POINT DR STREET 2: C/O ADVANCED ENERGY INDUSTRIES INC CITY: FORT COLLINS STATE: CO ZIP: 80525 BUSINESS PHONE: 9702214670 MAIL ADDRESS: STREET 1: 1625 SHARP POINT DR STREET 2: C/O ADVANCED ENERGY INDUSTRIES INC CITY: FORT COLLINS STATE: CO ZIP: 80525 SC 13G/A 1 SC 13G/A ------------------------------- 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. )* ------ Advanced Energy Industries, Inc. ---------------------------------- (Name of Issuer) Common Stock, $0.001 par value ---------------------------------- (Title of Class of Securities) 007973 10 0 ---------------------------------- (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 CUSIP No. 007973 10 0 13G Page 2 of 7 Pages - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons G. Brent 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 1,887,000 shares Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With 0 shares -------------------------------------------------- (7) Sole Dispositive Power 1,887,000 shares -------------------------------------------------- (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% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 007973 10 0 13G Page 3 of 7 Pages - ------------------------------------------------------------------------------- (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% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! ITEM 1(A). NAME OF ISSUER ADVANCED ENERGY INDUSTRIES, INC. - ------------------------------------------------------------------------------- ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES ADVANCED ENERGY INDUSTRIES, INC. 1625 SHARP POINT DRIVE FORT COLLINS, CO 80525 - ------------------------------------------------------------------------------- ITEM 2(A). NAME OF PERSON(S) FILING G. BRENT BACKMAN AND KAREN BACKMAN - ------------------------------------------------------------------------------- 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 - ------------------------------------------------------------------------------- ITEM 2(C). CITIZENSHIP G. BRENT BACKMAN AND KAREN BACKMAN ARE CITIZENS OF THE UNITED STATES - ------------------------------------------------------------------------------- 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 RULES 13d-1(b), OR 13d-2(b) NOT APPLICABLE Page 4 of 7 ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: G. BRENT BACKMAN 1,887,000 SHARES KAREN BACKMAN 546,000 SHARES --------------------------------------------------------------------------- (b) Percent of Class: G. BRENT BACKMAN 8.8% KAREN BACKMAN 2.5% --------------------------------------------------------------------------- (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 ----------------------------------------------------------------- (ii) shared power to vote or to direct the vote G. BRENT BACKMAN 0 SHARES KAREN BACKMAN 0 SHARES ----------------------------------------------------------------- (iii) sole power to dispose or to direct the disposition of G. BRENT BACKMAN 1,887,000 SHARES KAREN BACKMAN 546,000 SHARES ----------------------------------------------------------------- (iv) shared power to dispose or to direct the disposition of G. BRENT BACKMAN 0 SHARES KAREN BACKMAN 0 SHARES ----------------------------------------------------------------- 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 - ------------------------------------------------------------------------------- Page 5 of 7 ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON 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 - ------------------------------------------------------------------------------- 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 - ----------------------------- (Date) ---------------------------------------- G. Brent Backman ---------------------------------------- Karen Backman Statement Filed Pursuant to Rule 13d-1(f)(iii) ---------------------------------------------- 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. - ----------------------------------- ------------------------------------- G. Brent Backman Karen Backman Page 6 of 7 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 - ----------------------------------- ------------------------------------ G. Brent Backman Karen Backman Page 7 of 7 -----END PRIVACY-ENHANCED MESSAGE-----