-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GhHMAKvnQVorTx5k7+5HJP8czVOabFsaeBy9HPVY1SuYo7BcoSj3zGCujWfzR6mS PwbkvFnMUuzUmCZLsLGhqA== 0001437904-11-000021.txt : 20110210 0001437904-11-000021.hdr.sgml : 20110210 20110210121515 ACCESSION NUMBER: 0001437904-11-000021 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110210 DATE AS OF CHANGE: 20110210 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BRASEL TIMOTHY CENTRAL INDEX KEY: 0001007804 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: 16178 EAST PRETENCE PLZ CITY: AURORA STATE: CO ZIP: 80015 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AFH ACQUISITION IV, INC. CENTRAL INDEX KEY: 0001420031 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 412254389 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-83938 FILM NUMBER: 11590647 BUSINESS ADDRESS: STREET 1: C/O AMIR FARROKH HESHMATPOUR STREET 2: 9595 WILSHIRE BLVD., SUITE 900 CITY: BEVERLY HILLS STATE: CA ZIP: 90212 BUSINESS PHONE: 310-300-3431 MAIL ADDRESS: STREET 1: C/O AMIR FARROKH HESHMATPOUR STREET 2: 9595 WILSHIRE BLVD., SUITE 900 CITY: BEVERLY HILLS STATE: CA ZIP: 90212 SC 13D/A 1 brasel13d-a.txt TJ BRASEL - SCH13D/A #1 - AFH ACQ IV, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SCHEDULE 13D/A AMENDMENT NO. 1 THE SECURITIES EXCHANGE ACT OF 1934 AFH Acquisition IV, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) NONE (CUSIP Number) Timothy J. Brasel 5770 South Beech Court Greenwood Village, CO 80121 (303) 913-1232 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 9, 2011 (Date of Event which Requires Filing of this Statement) If the person filing has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f), or 13d-1(g), check the following box: [__]. If the information required on 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). (Continued on following pages) (Page 1 of 4 Pages) Cusip No.: None Page 2 of 4 Pages 1) NAME OF REPORTING PERSON Timothy J. Brasel 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] 3) SEC USE ONLY 4) SOURCE OF FUNDS PF 5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] 6) CITIZENSHIP OR PLACE OF ORGANIZATION United States of America 7) SOLE VOTING POWER NUMBER OF 500,000 SHARES BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 EACH REPORTING 9) SOLE DISPOSITIVE POWER PERSON 500,000 WITH 10) SHARED DISPOSITIVE POWER 0 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 500,000 12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10% 14) TYPE OF REPORTING PERSON IN Page 3 of 4 Pages Item 1. Security and Issuer. This Schedule 13D relates to the common stock, par value $0.001 per share (the "Common Stock") of AFH Acquisition IV, Inc., whose principal executive offices are located at c/o Amir Farrokh Heshmatpour, 9595 Wilshire Boulevard, Suite 700, Beverly Hills, CA 90212 (the "Issuer"). Item 2. Identity and Background. (a) The name of the reporting person is Timothy J. Brasel (the "Reporting Person"). (b) The business address of the Reporting Person is 5770 South Beech Court, Greenwood Village, CO 80121. (c) The Reporting Person's present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted is President of Bleu Ridge Consultants, Inc., located at 5770 South Beech Court, Greenwood Village, CO 80121. (d) The Reporting Person has not, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) The Reporting Person has not, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. (f) The Reporting Person is a citizen of the U.S.A. Item 3. Source and Amount of Funds or Other Consideration. The Reporting Person originally purchased the 2,500,000 shares of Common Stock directly from AFH Holding & Advisory LLC ("AFH Advisory"), the sole shareholder of the Issuer, for a purchase price equal to an aggregate of $12,500 on September 25, 2010. The source of the funding for this purchase was through personal funds. The certificate for the transaction was never delivered and the transaction was amended on February 9, 2011 to provide that on the closing of a proposed transaction with a merger candidate, AFH Advisory will transfer 500,000 of the 2,500,000 shares to the Reporting Person and retain the other 2,000,000 shares. Item 4. Purpose of Transaction. The original purpose was to acquire an equity interest in the Issuer and to become an officer and director of the Issuer. See Item 3. Page 4 of 4 Pages Item 5. Interest in Securities of the Issuer. (a) The Reporting Person beneficially owns an aggregate of 500,000 shares of Common Stock, representing 10% of the outstanding shares of Common Stock (based, as to the number of outstanding shares, upon the Issuer's Form 10-K filed on January 31, 2011). (b) The Reporting Person has the sole right to vote and dispose, or direct the deposition of, 500,000 shares of Common Stock owned by the Reporting Person. (c) The 500,000 shares of Common Stock reported herein were acquired by the Reporting Person from AFH Holding & Advisory LLC on September 25, 2010. (d) Other than the Reporting Person, no other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, 500,000 shares of Common Stock owned by the Reporting Person. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. Mr. Brasel and the sole officer and director of the Issuer agreed that Mr. Brasel would become Vice President and a Director of the Issuer. Item 7. Material to be Filed as Exhibits. None. 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. February 10, 2011 TIMOTHY J. BRASEL /s/ Timothy J. Brasel Timothy J. Brasel -----END PRIVACY-ENHANCED MESSAGE-----