- Amended Statement of Ownership (SC 13G/A)
February 13 2009 - 5:15PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
(Amendment No. 3)
1
Advanced Energy Industries, Inc.
(Name of Issuer)
Common Stock, $0.001 par value
(Title of Class of Securities)
007973 10 0
(CUSIP Number)
December 31, 2008
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pusuant to which this Schedule is filed:
o
Rule 13d-1(b)
o
Rule 13d-1(c)
þ
Rule 13d-1(d)
1
The remainder of this cover page shall be filled out for a reporting persons 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
on 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).
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CUSIP No.
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007973 10 0
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13G
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Page
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2
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of
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7
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Pages
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1.
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NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
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Douglas S. Schatz & Jill E. Schatz Family Trust
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP *
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(a)
o
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(b)
o
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
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WYOMING
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5.
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SOLE VOTING POWER
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NUMBER OF
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8,655,722
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SHARES
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6.
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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136,668
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EACH
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7.
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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8,655,722
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WITH
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8.
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SHARED DISPOSITIVE POWER
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136,668
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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8,792,390
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10.
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
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o
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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21.0 %
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12.
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TYPE OF REPORTING PERSON*
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OO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP No.
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007973 10 0
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13G
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Page
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3
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of
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7
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Pages
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1.
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NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
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Douglas S. Schatz
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
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(a)
o
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(b)
o
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
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UNITED STATES
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5.
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SOLE VOTING POWER
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NUMBER OF
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8,655,722
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SHARES
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6.
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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136,668
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EACH
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7.
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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8,655,722
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WITH
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8.
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SHARED DISPOSITIVE POWER
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136,668
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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8,792,390
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10.
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
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o
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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21.0 %
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12.
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TYPE OF REPORTING PERSON*
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IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP No.
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007973 10 0
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13G
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Page
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4
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of
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7
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Pages
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1.
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NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
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Jill E. Schatz
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
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(a)
o
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(b)
o
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
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UNITED STATES
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5.
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SOLE VOTING POWER
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NUMBER OF
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8,655,722
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SHARES
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6.
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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136,668
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EACH
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7.
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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8,655,722
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WITH
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8.
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SHARED DISPOSITIVE POWER
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136,668
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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8,792,390
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10.
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
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o
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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21.0 %
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12.
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TYPE OF REPORTING PERSON*
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IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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Item 1(a).
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Name of Issuer
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Advanced Energy Industries, Inc.
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Item 1(b).
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Address of Issuers Principal Executive Offices
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1625 Sharp Point Drive
Fort Collins, CO 80525
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Item 2(a).
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Names of Person Filing
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Douglas S. Schatz & Jill E. Schatz Family Trust
Douglas S. Schatz
Jill E. Schatz
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Item 2(b).
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Address of Principal Business Office or, if None, Residence
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PO Box 481
Fort Collins, CO 80522
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Item 2(c).
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Citizenship
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Douglas S. Schatz & Jill E. Schatz Family Trust Wyoming
Douglas S. Schatz United States
Jill E. Schatz United States
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Item 2(d).
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Title of Class of Securities
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Common Stock, $0.001 par value
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Item 2(e).
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CUSIP Number
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007973 10 0
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Item 3.
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If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b) or (c), check whether
the person filing is a
:
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Not applicable
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Item 4.
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Ownership
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(a)
Amount Beneficially Owned
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Douglas S. Schatz & Jill E. Schatz Family Trust
8,792,390
shares
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Douglas S. Schatz
8,792,390
shares
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Jill E. Schatz
8,792,390
shares
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(b)
Percent of Class
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Douglas S. Schatz & Jill E. Schatz Family Trust
21.0
%
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Douglas S. Schatz
21.0
%
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Jill E. Schatz
21.0
%
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(c)
Number of shares as to which such person has
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Douglas S. Schatz & Jill E. Schatz Family Trust and Douglas S.
Schatz:
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(i) sole power to vote or to direct the vote: 8,655,722
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(ii) shared power to vote or to direct the vote: 136,668**
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(iii) sole power to dispose or to direct the disposition of: 8,655,722
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(iv) shared power to dispose or to direct the disposition of: 136,668**
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Jill E. Schatz:
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(i) sole power to vote or to direct the vote: 8,655,722
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(ii) shared power to vote or to direct the vote: 136,668**
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(iii) sole power to dispose or to direct the disposition of: 8,655,722
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(iv) shared power to dispose or to direct the disposition of: 136,668**
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**
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Mr. and Mrs. Schatz are trustees of a charitable foundation that is the
record holder of 136,668 shares of common stock of the issuer. The two
other trustees of the charitable foundation are members of Mr. and Mrs.
Schatzs immediate family. Accordingly, Mr. Schatz and Mrs. may be deemed
to share with the other trustees voting and dispositive power with
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respect to the charitable foundations 136,668 shares. Mr. and Mrs. Schatz
disclaim beneficial ownership of the shares held by the charitable
foundation.
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Item 5.
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Ownership of Five Percent or Less of a Class
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Not applicable
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person
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Not applicable
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being
Reported By the Parent Holding Company
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Not applicable
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Item 8.
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Identification and Classification of Members of the Group
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Not applicable
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Item 9.
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Notice of Dissolution of Group
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Not applicable
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Item 10.
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Certification
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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.
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Date: February 13, 2009
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DOUGLAS S. SCHATZ &
JILL E. SCHATZ FAMILY TRUST
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By:
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/s/ Douglas S. Schatz
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Douglas S. Schatz, Trustee
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By:
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/s/ Jill E. Schatz
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Jill E. Schatz, Trustee
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By:
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/s/ Douglas S. Schatz
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Douglas S. Schatz
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By:
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/s/ Jill E. Schatz
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Jill E. Schatz
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