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<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-size:4pt;">&nbsp;</p>
<p style="margin-top:4pt;text-align:center;margin-bottom:0pt;margin-left:12.24%;margin-right:12.21%;text-indent:0%;font-weight:bold;font-size:18pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">UNITED STATES</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:12.25%;margin-right:12.21%;text-indent:0%;font-weight:bold;font-size:18pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">SECURITIES AND EXCHANGE COMMISSION</p>
<p style="margin-top:0pt;text-align:center;margin-bottom:0pt;margin-left:12.25%;margin-right:12.21%;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Washington, D.C. 20549</p>
<p style="text-align:center;margin-top:9pt;margin-bottom:0pt;margin-left:12.25%;margin-right:12.21%;text-indent:0%;font-weight:bold;font-size:18pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">FORM 8-K</p>
<p style="text-align:center;margin-top:10pt;line-height:11pt;margin-bottom:0pt;margin-left:12.24%;margin-right:12.21%;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">CURRENT REPORT</p>
<p style="text-align:center;line-height:11pt;margin-bottom:0pt;margin-top:0pt;margin-left:12.25%;margin-right:12.21%;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Pursuant to Section 13 OR 15(d)</p>
<p style="text-align:center;margin-top:0pt;margin-bottom:0pt;margin-left:12.24%;margin-right:12.21%;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">of the Securities Exchange Act of 1934</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;;font-size:8.5pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:12.25%;margin-right:12.21%;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Date of report (Date of earliest event reported): June 7, 2018</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;;font-size:7pt;">&nbsp;</p>
<p style="text-align:center;margin-top:7pt;margin-bottom:0pt;margin-left:12.24%;margin-right:12.21%;text-indent:0%;font-weight:bold;font-size:18pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">ASV HOLDINGS, INC.</p>
<p style="text-align:center;margin-top:0pt;margin-bottom:0pt;margin-left:12.24%;margin-right:12.21%;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(Exact name of registrant as specified in its charter)</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;;font-size:8.5pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:14.83%;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Delaware<font style="margin-left:238pt;">001-38089</font><font style="margin-left:398pt;">82-1501649</font></p>
<p style="line-height:11pt;margin-bottom:0pt;margin-top:0pt;margin-left:7.28%;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">(State or other jurisdiction of</p>
<p style="line-height:11pt;margin-bottom:0pt;margin-top:0pt;margin-left:6.84%;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">incorporation<font style="letter-spacing:-0.2pt;"> </font>or<font style="letter-spacing:-0.15pt;"> </font>organization)<font style="margin-left:205pt;">(Commission</font><font style="letter-spacing:-0.2pt;"> </font>File<font style="letter-spacing:-0.2pt;"> </font>Number)<font style="margin-left:205pt;">(IRS Employer Identification</font><font style="letter-spacing:-0.85pt;"> </font>No.)</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-size:8.5pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:38.5%;margin-right:38.37%;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">840 Lily Lane, Grand Rapids, Minnesota 55744</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:12.24%;margin-right:12.21%;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">(Address of Principal Executive Offices)</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-size:8.5pt;">&nbsp;</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:12.24%;margin-right:12.21%;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;"><font style="text-decoration:underline;">(218) 327-3434</font></p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:12.24%;margin-right:12.21%;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">(Registrant's telephone number, including area code)</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-size:8.5pt;">&nbsp;</p>
<p style="margin-top:0pt;line-height:11pt;text-align:center;margin-bottom:0pt;margin-left:12.25%;margin-right:12.21%;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;"><font style="text-decoration:underline;">N/A</font></p>
<p style="text-align:center;line-height:11pt;margin-bottom:0pt;margin-top:0pt;margin-left:12.24%;margin-right:12.21%;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">(Former Name or Former Address, if Changed Since Last Report)</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-size:8.5pt;">&nbsp;</p>
<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:2.31%;margin-right:2.13%;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (See General Instructions A.2 below):</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-size:8.5pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:2.31%;margin-right:24.03%;text-indent:0%;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';"><font style="font-size:10pt;font-family:'Times New Roman'">&#9744;</font><font style="font-family:Times New Roman;"> Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)&nbsp;&nbsp;&nbsp;&nbsp;</font><font style="font-size:10pt;font-family:'Times New Roman'">&#9744;</font><font style="font-family:Times New Roman;"> Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a -12)</font></p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:2.31%;margin-right:6.59%;text-indent:0%;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';"><font style="font-size:10pt;font-family:'Times New Roman'">&#9744;</font><font style="font-family:Times New Roman;"> Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d -2(b))&nbsp;&nbsp;&nbsp;&nbsp;</font><font style="font-size:10pt;font-family:'Times New Roman'">&#9744;</font><font style="font-family:Times New Roman;"> Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e -4(c))</font></p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-size:8.5pt;">&nbsp;</p>
<p style="text-align:justify;margin-top:0pt;margin-bottom:0pt;margin-left:2.31%;margin-right:2.13%;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b -2 of this chapter).</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-size:8.5pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:2.31%;text-indent:0.31%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Emerging<font style="letter-spacing:-0.2pt;"> </font>growth<font style="letter-spacing:-0.2pt;"> </font>company<font style="margin-left:36pt;"></font><font style="font-family:'Times New Roman';"><font style="font-size:10pt;font-family:'Times New Roman'">&#9746;</font></font></p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-size:8.5pt;">&nbsp;</p>
<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:2.31%;margin-right:2.13%;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. <font style="font-family:'Times New Roman';"><font style="font-size:10pt;font-family:'Times New Roman'">&#9744;</font></font></p>
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<p style="margin-top:0pt;margin-bottom:0pt;margin-left:0.19%;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
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<p style="margin-top:0pt;margin-bottom:0pt;margin-left:0.19%;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>&nbsp;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Item 5.07<font style="margin-left:36pt;"></font>Submission of Matters to a Vote of Security Holders.&nbsp;&nbsp;&#160;&#160;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#65279; </p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">ASV Holdings, Inc. held its Annual Meeting of Stockholders on June 7, 2018. The following is a summary of the matters voted on at that meeting. </p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:6.98%;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Proposal 1 - <font style="font-weight:normal;"> The stockholders elected two Class I Directors to serve until the 2021 Annual Meeting of the Stockholders.&nbsp;&nbsp;The persons elected to ASV Holdings, Inc. Board of Directors and the number of shares cast for and the number of shares withheld, with respect to each of these persons, were as follows:</font></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:12.5pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:12.5pt;">&nbsp;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:10pt;">&nbsp;</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">For</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Withheld</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Brian J. Henry</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">5,928,125</p></td>
<td valign="top"  style=" border-right:solid 0.75pt #000000; border-top:solid 0.75pt #000000; border-bottom:solid 0.75pt #000000; border-left:solid 0.75pt #000000;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">1,282,921</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">David Rooney</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">5,753,125</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">1,457,921</p></td>
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<p style="margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:10pt;font-family:Times New Roman;">
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<p style="margin-top:0pt;margin-bottom:0pt;margin-left:0.19%;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
<p style="margin-top:0pt;margin-bottom:0pt;margin-left:0.19%;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
<p style="margin-top:0pt;margin-bottom:0pt;margin-left:0.19%;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>&nbsp;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;">&nbsp;</p>
<p style="margin-top:4pt;text-align:center;margin-bottom:0pt;margin-left:12.24%;margin-right:12.21%;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">SIGNATURE</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;;font-size:8.5pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:2.31%;text-indent:4.77%;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-size:8.5pt;">&nbsp;</p>
<p style="text-align:left;margin-bottom:0pt;margin-top:0pt;margin-left:50%;text-indent:0%;font-weight:bold;font-size:10pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">ASV HOLDINGS, INC.</p>
<p style="margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;;font-size:9.5pt;">&nbsp;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Date: </font><font style="font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">June 1</font><font style="font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">2</font><font style="font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">,</font><font style="letter-spacing:-0.15pt;font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"> </font><font style="font-size:10pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">2018</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Times New Roman;font-size:10pt;"><font style="letter-spacing:-0.15pt;"></font>By: <font style="text-decoration:underline;">/s/</font><font style="text-decoration:underline;letter-spacing:-0.35pt;"> </font><font style="text-decoration:underline;">Andrew M. Rooke</font> </p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Times New Roman;font-size:10pt;">Andrew M. Rooke</p></td>
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asv-8k_20180607.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 OR 15(d)
of the Securities Exchange Act of 1934
Date of report (Date of earliest event reported): June 7, 2018
ASV HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
Delaware
001-38089
82-1501649
(State or other jurisdiction of
incorporation
or
organization)
(Commission
File
Number)
(IRS Employer Identification
No.)
840 Lily Lane, Grand Rapids, Minnesota 55744
(Address of Principal Executive Offices)
(218) 327-3434
(Registrant's telephone number, including area code)
N/A
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (See General Instructions A.2 below):
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a -12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d -2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e -4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b -2 of this chapter).
Emerging
growth
company
☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
☐
Item 5.07
Submission of Matters to a Vote of Security Holders.
﻿
ASV Holdings, Inc. held its Annual Meeting of Stockholders on June 7, 2018. The following is a summary of the matters voted on at that meeting.
Proposal 1 -
The stockholders elected two Class I Directors to serve until the 2021 Annual Meeting of the Stockholders.  The persons elected to ASV Holdings, Inc. Board of Directors and the number of shares cast for and the number of shares withheld, with respect to each of these persons, were as follows:
For
Withheld
Brian J. Henry
5,928,125
1,282,921
David Rooney
5,753,125
1,457,921
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.
ASV HOLDINGS, INC.
Date:
June 1
2
,
2018
By:
/s/
Andrew M. Rooke
Andrew M. Rooke
Chief Executive Officer