-----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, R0do7c11/2QsBY0qxIH3QmtOAFT6b2HylUeGXdg3a6XProW19apfeDmueUcpZ5f7 +d8K9qbs4cDxLnf+4CXuOQ== 0000914760-99-000013.txt : 19990210 0000914760-99-000013.hdr.sgml : 19990210 ACCESSION NUMBER: 0000914760-99-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990131 FILED AS OF DATE: 19990209 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: 4 SEC ACT: SEC FILE NUMBER: 000-25620 FILM NUMBER: 99525305 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 COMPANY DATA: COMPANY CONFORMED NAME: CATERPILLAR INC CENTRAL INDEX KEY: 0000018230 STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION MACHINERY & EQUIP [3531] OWNER IRS NUMBER: 370602744 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 100 NE ADAMS ST CITY: PEORIA STATE: IL ZIP: 61629-7310 BUSINESS PHONE: 3096751000 FORMER COMPANY: FORMER CONFORMED NAME: CATERPILLAR TRACTOR CO DATE OF NAME CHANGE: 19860623 4 1 FORM 4 - JANUARY 1999 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Caterpillar Inc., 100 Northeast Adams Street Peoria, IL 61629 2. Issuer Name and Ticker or Trading Symbol A.S.V., Inc. (ASVI) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year January 1999 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director (X) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock |1/29/9|P | |1,000,000 |A |$18,000,000|1,000,000 |D | | |9 | | | | |* | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Warrant Certificate |$21.00 |1/29/|P | |10,267,127 |A |1/29/|1/29/|Common Stock|10,267,|-- |10,267,127 |D | | | |99 | | | | |99 |09 | |127 | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Option Certificate (Ca|$18.00 |1/29/|J** | |1,579,000**|D | | |Common Stock|1,579,0|-- |0 |D | | ncelled) | |99 | | | | | | | |00 | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: *On January 29, 1999, A.S.V., Inc. issued the Warrant Certificate (the "Warrant Certificate") discussed below to Caterpillar Inc. Upon consummation of the Securities Purchase Agreement on January, 29, 1999, Caterpillar Inc. purchased 1,000,000 shares of common stock of A.S.V., Inc. Additionally, upon issuance of the Warrant Certificate, Caterpillar Inc. acquired the right to purchase an additional 10,267,127 shares, which Warrant Certificate is exercisable in whole or in part at any time and from time to time from January 29, 1999 until January 29, 2009 (subject to certain rights of A.S.V., Inc. to accelerate such date). These agreements are included in a Schedule 13D (as amended) filed by Caterpillar Inc. with respect to A.S.V., Inc. **Form 3 covering Option Certificate dated October 14, 1998 filed on October 27, 1998. On January 29, 1999, the Option Certificate was cancelled pursuant to the terms of the Securities Purchase Agreement dated as of October 14, 1998 between Caterpillar Inc. and A.S.V., Inc. SIGNATURE OF REPORTING PERSON By: R. Renie Atterbury III Its:Vice President and Secretary DATE 1/29/99 -----END PRIVACY-ENHANCED MESSAGE-----