-----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, PtNBPqIKgW6tG7MMzJvP8pe/KJqxPYoPDZjTHy3bdjPkPK0ri/phWTxz8LxkeehB G990mZ/TzR4qVjN31iS39A== 0001029869-99-000261.txt : 19990223 0001029869-99-000261.hdr.sgml : 19990223 ACCESSION NUMBER: 0001029869-99-000261 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990222 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 SEC ACT: SEC FILE NUMBER: 005-49885 FILM NUMBER: 99546312 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 BUSINESS ADDRESS: STREET 1: P O BOX 4172 CITY: WILMINGTON STATE: DE ZIP: 19807 BUSINESS PHONE: 3026551750 MAIL ADDRESS: STREET 1: PO BOX 4172 CITY: WILMINGTON STATE: DE ZIP: 19807 SC 13G 1 APPLIED IMAGING CORP. FORM SCHEDULE 13G -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0145 -------------------------- Expires: August 31, 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 Applied Imaging Corp. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 Par Value per Share - -------------------------------------------------------------------------------- (Title of Class of Securities) 03820G106 - -------------------------------------------------------------------------------- (CUSIP Number) July 15, 1998 - -------------------------------------------------------------------------------- (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). SEC 1745 (3-98) Page 1 of 5 pages |--------|---------------------------------------------------------------------| | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | Ashford Capital Management, Inc. | |--------|---------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | (b) [ ] | | | | |--------|---------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |--------|---------------------------------------------------------------------| | 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | A Delaware Corporation | |-----------------|--------|---------------------------------------------------| | | 5 | SOLE VOTING POWER | | | | 1,440,333 | | NUMBER OF |--------|---------------------------------------------------| | SHARES | 6 | SHARED VOTING POWER | | BENEFICIALLY | | 0 | | OWNED BY |--------|---------------------------------------------------| | EACH | 7 | SOLE DISPOSITIVE POWER | | REPORTING | | 1,440,333 | | PERSON |--------|---------------------------------------------------| | WITH | 8 | SHARED DISPOSITIVE POWER | | | | 0 | |------------------------------------------------------------------------------| | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 1,440,333 | |--------|---------------------------------------------------------------------| | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN [ ] | | | SHARES* | | | | |--------|---------------------------------------------------------------------| | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | | | 12.5% | |--------|---------------------------------------------------------------------| | 12 | TYPE OF REPORTING PERSON* | | | IA | - -------------------------------------------------------------------------------- SIGNATURE Page 2 of 5 pages 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 --------------------------------- Name: Theodore H. Ashford Title: President February 22, 1999 Page 3 of 5 pages Item 1(a). Name of Issuer: Applied Imaging Corp. --------------- Item 1(b). Address of Issuer's Principal Executive Offices: ------------------------------------------------ 2380 Walsh Ave., 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, Delaware 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). Page 4 of 5 pages Item 4. Ownership. ---------- (a) Amount Beneficially Owned: 1,440,333** shares. (b) Percent of Class: 12.5% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: -1,440,333**- (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: -1,440,333**- (iv) shared power to dispose or to direct the disposition of: -0- **Reflects the Reporting Person's beneficial ownership as of December 31, 1998. Item 5. Ownership of Five Percent or Less of a Class. --------------------------------------------- Not applicable. 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 separate individual client accounts and in one separate limited partnership, 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 partnership 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 in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----