Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
(Title of Class of Securities)
(CUSIP Number)
Cowden, Humphrey, Nagorney & Lovett, Co., L.P.A.
50 Public Square
1414 Terminal Tower
Cleveland, Ohio 44113
(216) 241-2880
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
(Date of Event Which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.
* 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 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 (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).
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
(Page 1 of 10 Pages)
CUSIP No. 325662 10 6 | Page 2 of 10 | |||||
1. | Name of Reporting Person: Advanced Lighting Technologies, Inc. |
I.R.S. Identification Nos. of above persons (entities only): |
||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions): | |||||
(a) | o | |||||
(b) | o | |||||
3. | SEC Use Only: | |||||
4. | Source of Funds (See Instructions): OO |
|||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o N/A | |||||
6. | Citizenship or Place of Organization: Ohio |
|||||
Number of Shares Beneficially Owned by Each Reporting Person With | ||||||
7. | Sole Voting Power:0 | |||||
8. | Shared Voting Power:0 | |||||
9. | Sole Dispositive Power:0 | |||||
10. | Shared Dispositive Power:0 | |||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person: 0 See Item 5 |
|||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions): o |
|||||
13. | Percent of Class Represented by Amount in Row (11): 0% | |||||
14. | Type of Reporting Person (See Instructions): CO | |||||
(Page 2 of 10 Pages)
CUSIP No. 325662 10 6 | Page 3 of 10 | |||||
1. | Name of Reporting Person: Saratoga Lighting Holdings LLC |
I.R.S. Identification Nos. of above persons (entities only): |
||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions): | |||||
(a) | o | |||||
(b) | o | |||||
3. | SEC Use Only: | |||||
4. | Source of Funds (See Instructions): OO |
|||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o N/A |
|||||
6. | Citizenship or Place of Organization: Delaware |
|||||
Number of Shares Beneficially Owned by Each Reporting Person With | ||||||
7. | Sole Voting Power:0 | |||||
8. | Shared Voting Power:0 | |||||
9. | Sole Dispositive Power:0 | |||||
10. | Shared Dispositive Power:0 | |||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person: 0 See Item 5 |
|||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions): o |
|||||
13. | Percent of Class
Represented by Amount in Row (11): 0% | |||||
14. | Type of Reporting Person (See Instructions): CO | |||||
(Page 3 of 10 Pages)
CUSIP No. 325662 10 6 | Page 4 of 10 | |||||
1. | Name of Reporting Person: Saratoga Partners IV, L.P. |
I.R.S. Identification Nos. of above persons (entities only): 13-4013670 |
||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions): | |||||
(a) | o | |||||
(b) | o | |||||
3. | SEC Use Only: | |||||
4. | Source of Funds (See Instructions): OO |
|||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o N/A |
|||||
6. | Citizenship or Place of Organization: Delaware |
|||||
Number of Shares Beneficially Owned by Each Reporting Person With | ||||||
7. | Sole Voting Power:0 | |||||
8. | Shared Voting Power:0 | |||||
9. | Sole Dispositive Power:0 | |||||
10. | Shared Dispositive Power:0 | |||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person: 0 See Item 5 |
|||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions): o |
|||||
13. | Percent of Class
Represented by Amount in Row (11): 0% | |||||
14. | Type of Reporting Person (See Instructions): CO | |||||
(Page 4 of 10 Pages)
CUSIP No. 325662 10 6 | Page 5 of 10 | |||||
1. | Name of Reporting Person: Saratoga Coinvestment IV LLC |
I.R.S. Identification Nos. of above persons (entities only): 13-4056003 |
||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions): | |||||
(a) | o | |||||
(b) | o | |||||
3. | SEC Use Only: | |||||
4. | Source of Funds (See Instructions): OO |
|||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o N/A |
|||||
6. | Citizenship or Place of Organization: Delaware |
|||||
Number of Shares Beneficially Owned by Each Reporting Person With | ||||||
7. | Sole Voting Power:0 | |||||
8. | Shared Voting Power:0 | |||||
9. | Sole Dispositive Power:0 | |||||
10. | Shared Dispositive Power:0 | |||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person: 0 See Item 5 |
|||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions): o |
|||||
13. | Percent of Class
Represented by Amount in Row (11): 0% | |||||
14. | Type of Reporting Person (See Instructions): CO | |||||
(Page 5 of 10 Pages)
CUSIP No. 325662 10 6 | Page 6 of 10 | |||||
1. | Name of Reporting Person: Saratoga Associates IV LLC |
I.R.S. Identification Nos. of above persons (entities only): 13-4013667 |
||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions): | |||||
(a) | o | |||||
(b) | o | |||||
3. | SEC Use Only: | |||||
4. | Source of Funds (See Instructions): OO |
|||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o N/A |
|||||
6. | Citizenship or Place of Organization: Delaware |
|||||
Number of Shares Beneficially Owned by Each Reporting Person With | ||||||
7. | Sole Voting Power:0 | |||||
8. | Shared Voting Power:0 | |||||
9. | Sole Dispositive Power:0 | |||||
10. | Shared Dispositive Power:0 | |||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person: 0 See Item 5 |
|||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions): o |
|||||
13. | Percent of Class
Represented by Amount in Row (11): 0% | |||||
14. | Type of Reporting Person (See Instructions): CO | |||||
(Page 6 of 10 Pages)
CUSIP No. 325662 10 6 | Page 7 of 10 | |||||
1. | Name of Reporting Person: Saratoga Management Company LLC |
I.R.S. Identification Nos. of above persons (entities only): 13-4013664 |
||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions): | |||||
(a) | o | |||||
(b) | o | |||||
3. | SEC Use Only: | |||||
4. | Source of Funds (See Instructions): OO |
|||||
5. | Check if Disclosure of Legal Proceedings Is
Required Pursuant to Items 2(d) or 2(e):
o N/A |
|||||
6. | Citizenship or Place of Organization: Delaware |
|||||
Number of Shares Beneficially Owned by Each Reporting Person With | ||||||
7. | Sole Voting Power:0 | |||||
8. | Shared Voting Power:0 | |||||
9. | Sole Dispositive Power:0 | |||||
10. | Shared Dispositive Power:0 | |||||
11. | Aggregate Amount Beneficially Owned by Each Reporting Person: 0 See Item 5 |
|||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions): o |
|||||
13. | Percent of Class
Represented by Amount in Row (11): 0% | |||||
14. | Type of Reporting Person (See Instructions): CO | |||||
(Page 7 of 10 Pages)
(Page 8 of 10 Pages)
1. | Joint Filing Agreement and Power of Attorney. | ||
2. | Underwriting Agreement. (Incorporated by reference to Exhibit 1.1 to Fiberstars Amendment No. 1 to Registration Statement on Form S-3 Registration (File No. 333-128421) filed October 17, 2005. |
(Page 9 of 10 Pages)
TECHNOLOGIES, INC.
SARATOGA LIGHTING HOLDINGS, LLC
SARATOGA PARTNERS IV L.P.
SARATOGA COINVESTMENT IV LLC
SARATOGA ASSOCIATES IV LLC
SARATOGA MANAGEMENT COMPANY LLC
0; | ||||||
Signed on behalf of each of the above entities. | ||||||
November 10, 2005
|
By: | /s/ Wayne J. Vespoli | ||||
(Date)
|
(Signature) Wayne J. Vespoli Executive Vice President, Advanced Lighting Technologies, Inc. |
(Page 10 of 10 Pages)