-----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, NBUnVHETWVFiKdc7Edy8wsB+TOJR/K69BNiOUiLx5G0PJdax8bN2NA70y/MsMDjT qexWMV49Bp5J9e3EXqVr4A== 0000950135-01-000772.txt : 20010223 0000950135-01-000772.hdr.sgml : 20010223 ACCESSION NUMBER: 0000950135-01-000772 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED IMAGING CORP CENTRAL INDEX KEY: 0000816066 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 770120490 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-49885 FILM NUMBER: 1545596 BUSINESS ADDRESS: STREET 1: 2380 WALSH AVE BLDG B CITY: SANTA CLARA STATE: CA ZIP: 95051 BUSINESS PHONE: 4085620250 MAIL ADDRESS: STREET 1: 2380 WALSH AVE STREET 2: BUILDING B CITY: SANTA CLARA STATE: CA ZIP: 95051 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ASHFORD CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0000897070 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 510243208 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3801 KENNETT PIKE SUITE B 107 CITY: WILMINGTON STATE: DE ZIP: 19807 BUSINESS PHONE: 3026551750 MAIL ADDRESS: STREET 1: 3801 KENNETT PIKE SUITE B 107 CITY: WILMINGTON STATE: DE ZIP: 19807 SC 13G/A 1 b38277apsc13ga.txt APPLIED IMAGING CORP. 1 ----------------------------- OMB APPROVAL ----------------------------- OMB Number: 3235-0145 Expires: November 30, 1999 Estimated average burden hours per response....14.90 ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* APPLIED IMAGING CORP. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $.001 PAR VALUE PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 03820G106 ----------------------------------------- (CUSIP Number) DECEMBER 31, 2000 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) *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 5 pages 2 - ----------------------- ------------------------- CUSIP NO. 03820G106 13G PAGE 2 OF 5 PAGES - ----------------------- ------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Ashford Capital Management, Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION A Delaware Corporation - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 932,533 NUMBER OF ------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 932,533 ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 932,533 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.77% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IA ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 5 pages 3 Item 1(a). NAME OF ISSUER: Applied Imaging Corp. -------------- Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: ----------------------------------------------- 2380 Walsh Avenue, Building B, Santa Clara, CA 95051 Item 2(a). NAME OF PERSON FILING: Ashford Capital Management, Inc. --------------------- Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: ----------------------------------------------------------- P.O. Box 4172, Wilmington, DE 19807 Item 2(c). CITIZENSHIP: A Delaware Corporation ----------- Item 2(d). TITLE OF CLASS OF SECURITIES: Common Stock ---------------------------- Item 2(e). CUSIP NUMBER: 03820G106 ------------ Item 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), ------------------------------------------------------ OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A: ------------------------------------------------- (a) [ ] Broker or Dealer registered under Section 15 of the Securities Exchange Act of 1934 (the "Act"). (b) [ ] Bank as defined in Section 3(a)(6) of the Act. (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act. (d) [ ] Investment Company registered under Section 8 of the Investment Company Act. (e) [X] Investment Advisor registered under Section 203 of the Investment Advisers Act of 1940. (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see 13d-1(b)(1)(ii)(F). (g) [ ] Parent Holding Company, in accordance with Rule 13d-1(b) (ii)(G); see Item 7. (h) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(H). Item 4. OWNERSHIP. --------- (a) Amount Beneficially Owned: 932,533** shares. (b) Percent of Class: 6.77% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: -932,533**- (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: -932,533**- (iv) shared power to dispose or to direct the disposition of: -0- **Reflects the Reporting Person's beneficial ownership as of December 31, 2000. Item 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. -------------------------------------------- Not applicable. Page 3 of 5 pages 4 Item 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. --------------------------------------------------------------- The shares reported by the Reporting Person, a registered investment adviser, are held in one separate individual client account and in two separate limited partnerships, the beneficial owners of which have the right to receive and the power to direct the receipt of dividends from, and the proceeds from the sale of, such shares. None of the individual client accounts or the limited partnerships individually holds 5% or more of the Issuer's Common Stock. 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. ------------- By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 4 of 5 pages 5 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. ASHFORD CAPITAL MANAGEMENT, INC. By: /s/ THEODORE H. ASHFORD, III ----------------------------------- Theodore H. Ashford, III President February 13, 2001 Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----