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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. 5 )*
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).
Page 1 of 8 Pages
<PAGE>
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
- --------------------------------------------------------------------------------
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
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER
789,500
NUMBER OF ----------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,227,199
EACH ----------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 789,500
----------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,227,199
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,016,699
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
16.1%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
CUSIP No. 23922010 Page 3 of 8 Pages
13G
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION 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
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER
700
NUMBER OF ----------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 2,015,999
EACH ----------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 700
----------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,015,999
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,016,699
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
16.1%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
CUSIP No. 23922010 Page 4 of 8 Pages
13G
This Amendment No. 5 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,
Amendment No. 3 thereto, which was filed on June 3, 1996 and Amendment No. 4
thereto, which was filed on February 12, 1997.
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 12/31/97:
2,016,699 shares
Amount Beneficially owned by Tracey B. Daw as of 12/31/97:
2,016,699 shares
(b) Percent of Class owned by Ronald W. Daw as of 12/31/97: 16.1%
Percent of Class owned by Tracey B. Daw as of 12/31/97: 16.1%
(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, 1997, Ronald W. Daw had sole power to
vote or direct the vote of 789,500 shares, which
included 455,200 shares held by Ronald W. Daw,
219,300 shares owned by the Ronald
<PAGE>
CUSIP No. 23922010 Page 5 of 8 Pages
13G
Daw Family Limited Partnership and 115,000 shares
underlying options that were presently exercisable.
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, 1997, the Reporting Persons shared the
power to vote or to direct the vote of 1,226,499
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 789,500
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, 1997, Ronald W. Daw had sole
power to dispose or direct the disposition of 789,500
shares, which included 455,200 shares held by Ronald
W. Daw, 219,300 shares owned by the Ronald Daw Family
Limited Partnership and 115,000 shares underlying
presently exercisable 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, 1997, the Reporting Persons
shared the power to dispose or to direct the
disposition of 1,226,499 shares held jointly by them.
In addition, Tracey B. Daw may be deemed to share the
power to dispose or direct the disposition of the
789,500 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.
<PAGE>
CUSIP No. 23922010 Page 6 of 8 Pages
13G
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
Not applicable.
<PAGE>
CUSIP No. 23922010 Page 7 of 8 Pages
13G
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: January ____, 1998 DATED: January ____, 1998
By /s/ RONALD W. DAW By /s/ TRACEY B. DAW
------------------------------- ------------------------------
Ronald W. Daw Tracey B. Daw
<PAGE>
CUSIP No. 23922010 Page 8 of 8 Pages
13G
EXHIBIT A
AGREEMENT
The undersigned agree that this Amendment No. 5 to Schedule 13G of
Ronald W. Daw and Tracey B. Daw relating to shares of Common Stock of Daw
Technologies, Inc. shall be filed on behalf of each of the undersigned.
By /s/ RONALD W. DAW By /s/ TRACEY B. DAW
------------------------------- -------------------------------
Ronald W. Daw Tracey B. Daw
