-----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, LzhUkHkCK6f8cDmEs9KsV7CR9Ysm2RruHqaAMtFF8jS9LTkzcAi/Uc31O3dp7h+k wQpNC8GKW2ASrVGq8im+2A== 0001045969-99-000070.txt : 19990209 0001045969-99-000070.hdr.sgml : 19990209 ACCESSION NUMBER: 0001045969-99-000070 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990208 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASV INC /MN/ CENTRAL INDEX KEY: 0000926763 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] IRS NUMBER: 411459569 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-46533 FILM NUMBER: 99523252 BUSINESS ADDRESS: STREET 1: P O BOX 5160 STREET 2: 840 LILY LANE CITY: GRAND RAPIDS STATE: MN ZIP: 55744-5160 BUSINESS PHONE: 2183273434 MAIL ADDRESS: STREET 1: PO BOX 5160 STREET 2: 840 LILY LANE CITY: GRAND RAPIDS STATE: MN ZIP: 55744-5160 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SMABY PHILIP C CENTRAL INDEX KEY: 0001008715 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: P.O. BOX 5160 CITY: GRAND RAPIDS STATE: MN ZIP: 55744-5160 BUSINESS PHONE: 2183273434 SC 13G/A 1 SCHEDULE 13G AMENDMENT NO. 2 ------------------------------- / OMB APPROVAL / ------------------------------- / OMB Number: 3235-0145 / / Expires: August 31,1991 / / 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. 2) A.S.V., Inc. ------------------------------------ (Name of Issuer) Common Stock $.01 par value ------------------------------------ (Title of Class of Securities) 001963107 ----------- (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 (10-88) - ----------------------- --------------------- CUSIP NO. 001963107 PAGE 2 OF 4 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Philip C. Smaby - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] N/A (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 370,181 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 -- OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 370,181 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 370,181 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 4.3% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ Date: February 6, 1998 --------------------- Page 3 of 4 Item 1(a) Name of Issuer: A.S.V., Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 840 Lily Lane Grand Rapids, MN 55744 Item 2(a) Name of Person Filing: Philip C. Smaby Item 2(b) Address of Principal Business Office: 840 Lily Lane Grand Rapids, MN 55744 Item 2(c) Citizenship: U.S.A Item 2(d) Title of Class of Securities: Common Stock, $.01 par value Item 2(e) CUSIP Number: 001963107 Item 3. N/A Item 4. Ownership. (a) Amount Beneficially Owned: 370,181 Date: February 6, 1998 --------------------- Page 4 of 4 pages (b) Percent of Class: 4.3% (c) Number of shares as to which each person has: (i) sole power to vote or to direct the vote 370,181 (ii) shared power to vote or to direct the vote --- (iii) sole power to dispose or to direct the disposition of 370,181 (iv) shared power to dispose or to direct the disposition of --- Item 5. Ownership of Five Percent or Less of a Class. [X] Item 6. Ownership of More than Five Percent on Behalf of Another Person. N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. N/A Item 8. Identification and Classification of Members of the Group. N/A -----END PRIVACY-ENHANCED MESSAGE-----