8-K 1 c81845e8vk.txt FORM 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 5, 2004 A.S.V., INC. (Exact name of registrant as specified in its charter) Minnesota 0-25620 41-1459569 (State or other jurisdiction of (Commission file (I.R.S. Employer incorporation) number) Identification No.) 840 Lily Lane, Grand Rapids, Minnesota 55744 (Address of principal executive offices) Registrant's telephone number, including area code: (218) 327-3434 Item 7. Financial Statements and Exhibits. --------------------------------- c. Exhibits Exhibit Description of Exhibit ------- ---------------------- 99 Press release dated January 5, 2004 Item 9. Regulation FD Disclosure. ------------------------ On January 5, 2004, A.S.V., Inc. ("ASV") issued a press release disclosing that Caterpillar Inc. had exercised its warrant for the purchase of 1,040,069 shares of ASV common stock at $21.00 per share. These shares were subject to an acceleration notice issued by ASV on October 21, 2003. Caterpillar was required to either purchase these shares or lose the opportunity to acquire the shares under the warrant. For additional information, see the press release included as Exhibit 99 hereto. SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized. Date: January 5, 2004 A.S.V., Inc. By: /s/ Gary Lemke ----------------------------- Its: President ------------------------ EXHIBIT INDEX Exhibit Description of Exhibit ------- ---------------------- 99 Press release dated January 5, 2004