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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. __)(1)
CATAWBA VALLEY BANCSHARES, INC.
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(NAME OF ISSUER)
COMMON STOCK, $1.00 PAR VALUE
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(TITLE OF CLASS OF SECURITIES)
00014910M1
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(CUSIP NUMBER)
JUNE 30, 1999
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(DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
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(1) 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 ("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).
Page 1 of 5
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CUSIP NO. 00014910M1 Page 2 of 5 pages
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
WADE E. MOOSE
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
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5 SOLE VOTING POWER
NUMBER OF
SHARES 77,882
BENEFICIALLY -----------------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH
REPORTING 0
PERSON -----------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
77,882
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8 SHARED DISPOSITIVE POWER
0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
87,782
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.9%
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12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 2 of 5
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ITEM 1.
(a) Name of Issuer: Catawba Valley Bancshares, Inc.
(b) Address of Issuer's Principal Executive Offices:
1039 Second Street, N.E.
Hickory, North Carolina 28602
ITEM 2.
(a) Name of Person Filing: Wade E. Moose
(b) Address of Principal Business Office or, if none, Residence:
Post Office Box 2268
Hickory, North Carolina 28602
(c) Citizenship: United States
(d) Title of Class of Securities: Common Stock, $1.00 par value
(e) CUSIP Number: 00014910M1
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR
13d-2(b), CHECK WHETHER THE PERSON FILING IS A:
If this statement is filed pursuant to Rule 13d-1(c), check
this box. [X]
ITEM 4. OWNERSHIP
See blocks 5 through 11 of the Cover Page. Mr. Moose
beneficially owns 87,782 shares, or approximately 5.9% of the
outstanding shares, of Common Stock, $1.00 par value, of
Catawba Valley Bancshares, Inc. (the "Company"). This
aggregate amount of 87,782 shares includes 77,882 shares held
directly by Mr. Moose (or by a broker for the account of Mr.
Moose) and 9,900 shares held directly by Mr. Moose's wife,
Donna Moose. The percentages calculated in this Item 4 are
based upon 1,495,351 shares of the Company's Common Stock
outstanding.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
Not applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER
PERSON
Not applicable.
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ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH
ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING
COMPANY
Not applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
Not applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
Not applicable.
ITEM 10. CERTIFICATION
By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above were not acquired
and are not held for the purpose of or with the effect of
changing or influencing the control of the issuer of the
securities and were not acquired and are not held in
connection with or as a participant in any transaction having
that purpose or effect.
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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.
January 28, 2000
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Date
/s/ Wade E. Moose
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Signature
Wade E. Moose
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Name
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