SEC Form 4 · accession 0000097216-17-000158
ASV HOLDINGS, INC. · ASV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A.S.V. HOLDING, LLC
10% Owner
Period of report
May 23, 2017
Accepted (ET)
Jun 2, 2017 · 1:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001690881
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.01F1,F2 | May 23, 2017 | S | 570,000 | $6.51 | D | 3,350,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This amount reflects the number of shares of common stock of the Issuer ("Common Stock") sold by A.S.V. Holding, LLC in connection with the initial public offering of the Issuer which closed on May 17, 2017 (the "IPO"). The material terms of the IPO are described in the prospectus, dated May 12, 2017, filed by the Issuer with the U.S. Securities and Exchange Commission on May 15, 2017.
- F2This amount represents the $7.00 per share price of Common Stock sold by the underwriters in connection with the IPO, less the underwriting discount of $0.49 per share.