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Previous: BARBERS HAIRSTYLING FOR MEN & WOMEN INC, 10QSB, 1998-02-09 |
Next: ASV INC /MN/, 5, 1998-02-09 |
FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION OMB Approval
Washington, D.C. 20549 OMB Number 3235-0287
Expires: September
30, 1998
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Estimated average
burden hours per
response . . . 0.5
[ ] Check this box if no longer
subject to Section 16. Filed pursuant to Section 16(a) of
Form 4 or Form 5 the Securities Exchange Act of 1934,
obligations may continue. Section 17(a) of the Public Utility
See Instruction 1(b). Holding Company Act of 1935 or
Section 30(f) of the Investment
Company Act
(Print or Type Responses)
<TABLE>
1. Name and Address of 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to Issuer
Reporting Person (Check all applicable)
X Director X 10% Owner
DAHL JAMES H. ASV, Inc. (ASVI) ___ Officer (give ___ Other (specify
(Last) (First) (Middle) title below)
below)
3. IRS or Social 4. Statement for
Security Month/Year ____________________________________
1200 Riverplace Blvd., Number of
Suite 920 Reporting January 1998
(Street) Person
(Voluntary)
5. If Amendment, 7. Individual or Joint/Group Filing (Check
Date of Applicable Line)
Original X Form filed by One Reporting Person
Jacksonville Florida (Month/Year) ___ Form filed by More than One Reporting
32207 Person
(City) (State)
(Zip) Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security 2.Trans- 3. Trans- 4. Securities 5. Amount of Securities 6. Owner- 7. Nature
(Instr. 3) action action Acquired (A) Beneficially Owned at End ship of In-
Date Code or Disposed of (D) of Month (Instr. 3 and 4) Form: direct
(Month/ (Instr. (Instr. 3, 4 and Direct Bene-
Day/ 8) 5) (D) or ficial
Year) Indirect Owner-
(I) ship
(Instr. (Instr.
4) 4)
Code V Amount (A) or Price
(D)
<S> <C> <C> <C> <C> <C> <C> <C>
Common Stock 01/22/98 P 500 A $26.50 49,700 I By Trust
FBO Son
Common Stock 01/22/98 P 500 A $26.50 50,100 I By Trust
FBO
Daughter
Common Stock 296,600 I By Rock
Creek
Partners,
Ltd.
Common Stock 3,000 I By
Spouse's
IRA
Total 399,400
Reminder: Report on a separate line for each class of securities
beneficially owned directly or indirectly. (Over)
* If the form is filed by more than one reporting SEC 1474 (7/96)
person, see instruction 4(b)(v).
<PAGE>
FORM 4 Table II - Derivative Securities Acquired, Disposed of,
(continued) or Beneficially Owned (e.g., puts, calls, warrants, options,
convertible securities)
1. Title 2. Conver- 3. Trans- 4. Trans- 5. Number 6. Date Exer-
of sion or action action of cisable
Deriv- Exercise Date Code Deriv- and
ative Price of (Month/ (Instr. ative Expiration
Security Derivative Day/Year) 8) Securities Date (Month/
(Instr. Security Acquired Day/Year)
3) (A) or
Disposed
of (D)
(Instr. 3, Date Expira-
4 and 5) Exer- tion
cisable Date
Code V (A) (D)
Common Stock
Options $18.167 12/21/97
Common Stock
Options $18.167 12/21/98
Common Stock
Options $18.167 12/21/99
Common Stock
Options $18.167 12/21/2000
Warrants $ 5.85 05/03/96 08/17/99
Warrants $ 5.85 06/20/96 08/17/99
Convertible
Subordinated
Debenture $24.75 10/08/96 10/15/06
Common Stock
Options $27.50 12/12/98 12/12/02
Common Stock
Options $27.50 12/12/99 12/12/02
Common Stock
Options $27.50 12/12/00 12/12/02
Common Stock
Options $27.50 12/12/01 12/12/03
7. Title and 8. Price of 9. Number of 10. Ownership 11. Nature
Amount of Derivative Derivative Form of of In-
Underlying Security Securities Derivative direct
Securities (Instr. 5) Beneficially Security; Bene-
(Instr. 3 Owned at End Direct (D) ficial
and 4) of Month or Indirect Owner-
(Instr. 4) (I) (Instr. ship
4) (Instr. 4)
Title Amount or
Number of
Shares
Common 1,875 1 D
Stock
Common 1,875 1 D
Stock
Common 1,875 1 D
Stock
Common 1,875 1 D
Stock
Common 120,000 80,000 I By Rock Creek
Stock Partners Ltd.
Common 15,000 10,000 D
Stock
Common 90,909 1 I By Rock Creek
Stock Partners Ltd.
Common 2,500 1 D
Stock
Common 2,500 1 D
Stock
Common 2,500 1 D
Stock
Common 2,500 1 D
Stock
</TABLE>
**Intentional misstatements or omissions
of facts constitute Federal Criminal /s/ James H. Dahl 02/09/98
Violations. See 18 U.S.C. 1001 and ** Signature of Date
15 U.S.C. 78ff(a). Reporting Person
Note: File three copies of this Form,
one of which must be manually signed.
If space provided is insufficient,
see Instruction 6 for procedure.
Potential persons who are to respond to the
collection of information contained in this
form are not required to respond unless the Page 2
form displays a currently valid OEM Number. SEC 1474 (7/96)
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