February 12, 1997
VIA ELECTRONIC TRANSMISSION
Securities and Exchange Commission
450 Fifth Street, N.W.
Washington, D.C. 20549
Re: Amendment to Schedule 13G
Ladies and Gentlemen:
Submitted herewith is Amendment No. 4 to the Schedule 13G for Ronald W. Daw
and Tracey B. Daw. This filing is being effected by direct transmission via the
Commission's EDGAR System. No fee is required in connection with this filing. If
you have any questions concerning this material, please do no hesitate to call
the undersigned or Matthew Dorny at (801) 532-7840.
Sincerely,
/s/ SUSAN ALLEN
Susan Allen
Legal Assistant
Attachment
cc: Daw Technologies, Inc.
Reporting Persons
D. Matthew Dorny
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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. 4 )*
Daw Technologies, Inc.
----------------------------
(Name of Issuer)
Common Stock, $.01 Par Value
------------------------------
(Title of Class of Securities)
23922010
---------------------
(CUSIP Number)
*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 (2-95)
Page 1 of 8 Pages
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CUSIP No. 23922010 Page 2 of 8 Pages
13G
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Ronald W. Daw - SSN: ###-##-####
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF 5 SOLE VOTING POWER
SHARES 747,000
BENEFICIALLY
OWNED BY 6 SHARED VOTING POWER
EACH 1,246,699
REPORTING
PERSON 7 SOLE DISPOSITIVE POWER
WITH 747,000
8 SHARED DISPOSITIVE POWER
1,246,699
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
1,993,699
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES*
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
16.0%
12 TYPE OF REPORTING PERSON*
IN
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CUSIP No. 23922010 Page 3 of 8 Pages
13G
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. INDENTIFICATION NO. OF ABOVE PERSON
Tracey B. Daw
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF 5 SOLE VOTING POWER
SHARES 700
BENEFICIALLY
OWNED BY 6 SHARED VOTING POWER
EACH 1,992,999
REPORTING
PERSON 7 SOLE DISPOSITIVE POWER
WITH 700
8 SHARED DISPOSITIVE POWER
1,992,999
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
1,993,699
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES*
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
16.0%
12 TYPE OF REPORTING PERSON*
IN
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CUSIP No. 23922010 Page 4 of 8 Pages
This Amendment No. 4 to the Schedule 13G of Ronald W. Daw and Tracey B. Daw
amends and supplements, and should be read in conjunction with, the Schedule 13G
and Amendments 1 and 2 thereto, all of which were filed on May 31, 1996 and
Amendment No. 3 thereto, which was filed on June 3, 1996.
Item 1.
(a) Name of Issuer: Daw Technologies, Inc.
(b) Address of Issuer's Principal Executive Offices:
2700 South 900 West, Salt Lake City, Utah 84119
Item 2.
(a) Name of Persons Filing: Ronald W. Daw and Tracey B Daw
(the "Reporting Persons")
(b) Address of Principal Business Office of Ronald W. Daw:
2700 South 900 West, Salt Lake City, Utah 84119
Address of Residence of Tracey B. Daw:
488 Edindrew Circle, Murray, Utah 84107
(c) Citizenship: United States
(d) Title of Class of Securities:
Common Stock, $.01 Par Value (the "Common Stock")
(e) CUSIP Number: 23922010
Item 3.
This statement is not filed pursuant to Rule 13d-1(b) or 13d-2(b).
Item 4.
Ownership
(a) Amount Beneficially owned by Ronald W. Daw as of 12/31/96:
1,993,699 shares
Amount Beneficially owned by Tracey B. Daw as of 12/31/96:
1,993,699 shares
(b) Percent of Class owned by Ronald W. Daw as of 12/31/96: 16.0%
Percent of Class owned by Tracey B. Daw as of 12/31/96: 16.0%
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CUSIP No. 23922010 Page 5 of 8 Pages
(c) Number of shares as to which the Reporting Persons have:
(i) sole power to vote or to direct the vote:
As of December 31, 1996, Ronald W. Daw had sole power to
vote or to direct the vote of 747,000 shares, which
include 455,200 shares held by Ronald W. Daw, 219,300
shares owned by the Ronald Daw Family Limited Partnership
and 72,500 shares underlying options that were presently
excercisable.
Tracey B. Daw had sole power to vote 700 shares, which
included 100 shares held by her individually and 600
shares held by her as trustee of the Reporting Persons'
children's trusts.
(ii) shared power to vote or to direct the vote:
As of December 31, 1996, the Reporting Persons shared the
power to vote or to direct the vote of 1,245,999 shares
held jointly by the Reporting Persons. In addition,
Tracey B. Daw, may be deemed to share the power to vote or
direct the vote of the 747,000 shares held by Ronald W.
Daw and the Ronald Daw Family Limited Partnership, and
Ronald W. Daw may be deemed to share the power to vote or
direct the vote of the 700 shares held by Tracey B. Daw,
individually and as trustee of the Reporting Persons'
children's trusts.
(iii) sole power to dispose or to direct the disposition of:
As of December 31, 1996, Ronald W. Daw had sole power to
dispose or to direct the disposition of 747,000 shares,
which included 455,200 shares held by Ronald W. Daw,
219,300 shares owned by the Ronald Daw Family Limited
Partnership and 72,500 shares underlying presently
excercisable options.
Tracey B. Daw had sole power to dispose or direct the
disposition of 700 shares, which included 100 shares held
by her individually and 600 shares held by her as trustee
of the Reporting Persons' children's trusts.
(iv) shared power to dispose or to direct the disposition of:
As of December 31, 1996, the Reporting Persons shared the
power to dispose or direct the disposition of 1,245,999
shares jointly held by them. In addition, Tracey B. Daw
may be deemed to share the power to dispose or direct the
disposition of the 747,000 shares held by Ronald W. Daw
and the Ronald Daw Family Limited Partnership, and Ronald
W. Daw may be deemed to share the power to dispose or
direct the disposition of the 700 shares held by Tracey B.
Daw, individually and as trustee of the Reporting Persons'
children's trusts.
The filing of this Schedule 13G shall not be construed as an
admission that the Reporting Persons, for purposes of Section
13(d) and 13(g) of the Securities Exchange Act of 1934, are the
beneficial owners of all of the securities covered by this
Schedule 13G.
Item 5. Ownership of Five Percent or Less of a Class
This statement is not being filed to report the fact that as of
the date hereof the Reporting Persons have ceased to be beneficial owners
of more than five percent of the class of securities.
Item 6. Ownership of More than Five Percent on Behalf of
Another Person
Not applicable.
Item 7. Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on By the Parent Holding
Company
Not applicable.
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CUSIP No. 23922010 Page 6 of 8 Pages
Item 8. Identification and Classification of Members of the Group
Not applicable.
Item 9. Notice of Dissolution of Group
Not applicable.
Item 10. Certification
Not applicable.
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CUSIP No. 23922010 Page 7 of 8 Pages
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.
DATED: February 12, 1997 DATED: February 12, 1997
By /s/ DAVID R. GROW By /s/ DAVID R. GROW
Ronald W. Daw by David R. Grow, Tracey B. Daw by David R. Grow,
Attorney-in-Fact pursuant to a Attorney-in-Fact pursuant to a
Power of Attorney dated February Power of Attorney dated May 28,
20, 1996, a copy of which is on 1996, a copy of which is on file
file with the Commission and with the Commission and incorporated
incorporated herein by reference. herein by reference.
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CUSIP No. 23922010 Page 8 of 8 Pages
EXHIBIT A
AGREEMENT
The undersigned agree that this Amendment No. 4 to Schedule 13G of
Ronald W. Daw and Tracey B. Daw relating to the shares of Common Stock of Daw
Technologies, Inc. shall be filed on behalf of each of the undersigned.
By /s/ DAVID R. GROW By /s/ DAVID R. GROW
Ronald W. Daw by David R. Grow, Tracey B. Daw by David R. Grow,
Attorney-in-Fact pursuant to a Attorney-in-Fact pursuant to a
Power of Attorney dated February Power of Attorney dated May 28,
20, 1996, a copy of which is on 1996, a copy of which is on file
file with the Commission and with the Commission and incorporated
incorporated herein by reference. herein by reference.
