-----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, BH/jFTd4kV176bfF3wIIid3HFD9An1TtQYWSzCuT0e1T8NmExavi3VL7NEosgI9R OH/mgOLSHjehhmZk+kUL6g== 0001038838-02-000119.txt : 20020414 0001038838-02-000119.hdr.sgml : 20020414 ACCESSION NUMBER: 0001038838-02-000119 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 GROUP MEMBERS: RONALD W. DAW GROUP MEMBERS: TRACEY B. DAW SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DAW TECHNOLOGIES INC /UT CENTRAL INDEX KEY: 0000882159 STANDARD INDUSTRIAL CLASSIFICATION: GENERAL BUILDING CONTRACTORS - NONRESIDENTIAL BUILDINGS [1540] IRS NUMBER: 870464280 STATE OF INCORPORATION: UT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45735 FILM NUMBER: 02548623 BUSINESS ADDRESS: STREET 1: 2700 S 900 W CITY: SALT LAKE CITY STATE: UT ZIP: 84119 BUSINESS PHONE: 8019773100 MAIL ADDRESS: STREET 2: 2700 SOUTH 900 WEST CITY: SALT LAKE CITY STATE: UT ZIP: 84119 FORMER COMPANY: FORMER CONFORMED NAME: PRIMA ACQUISITIONS INC DATE OF NAME CHANGE: 19600201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DAW RONALD W CENTRAL INDEX KEY: 0001015670 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 2700 SOUTH 900 WEST CITY: SALT LAKE CITY STATE: UT ZIP: 84119 BUSINESS PHONE: 8019773100 MAIL ADDRESS: STREET 1: 2700 SOUTH 900 WEST CITY: SALT LAKE CITY STATE: UT ZIP: 84119 SC 13G/A 1 ronald13g021402.txt RONALD W. & TRACEY B. DAW SEC 1745 (3-98) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. OMB APPROVAL -------------------------------------- OMB Number: 3235-0145 Expires: October 31, 2002 Estimated average burden hours per response................14.9 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9 )* Daw Technologies, Inc. ----------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 Par Value ----------------------------------------------------------------------- (Title of Class of Securities) 23922010 (CUSIP Number) December 31, 2001 ----------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] 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). CUSIP No. 23922010 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Ronald W. Daw - -------------------------------------------------------------------------------- 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 United States - -------------------------------------------------------------------------------- Number of 5. Sole Voting Power 305,246* Shares Bene- -------------------------------------------------------------- ficially 6. Shared Voting Power 299,125* Owned by Each -------------------------------------------------------------- Reporting 7. Sole Dispositive Power 305,246* Person With: -------------------------------------------------------------- 8. Shared Dispositive Power 299,125* - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 604,371* - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 15.8% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- * All numbers reflect a 1-for-4 reverse stock split which was effective in 2001. 2 CUSIP No. 23922010 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Tracey B. Daw - -------------------------------------------------------------------------------- 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 United States - -------------------------------------------------------------------------------- Number of 5. Sole Voting Power 175* Shares Bene- --------------------------------------------------------------- ficially 6. Shared Voting Power 299,125* Owned by Each --------------------------------------------------------------- Reporting 7. Sole Dispositive Power 175* Person With: --------------------------------------------------------------- 8. Shared Dispositive Power 299,125* - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 604,371* - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 15.8% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- * All numbers reflect a 1-for-4 reverse stock split which was effective in 2001. 3 CUSIP No. 23922010 Item 1. (a) Name of Issuer: Daw Technologies, Inc. (the "Company") (b) Address of Principal Executive Offices: 2700 South 900 West, Salt Lake City, UT 84119 Item 2. (a) Name of Persons Filing: Ronald W. Daw and Tracey B. Daw (the "Reporting Persons") (b) Address of Principal Business Office, if none, Residence: 430 Windrow Clusters Drive, Morrestown, NJ 08057 (c) Citizenship: United States (d) Title of Class of Securities: Common Stock, $0.01 Par Value (the "Common Stock") (e) CUSIP Number: 23922010 Item 3. This statement is not filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c). Item 4. Ownership (a) Amount Beneficially Owned: As of December 31, 2001, Ronald W. Daw was the beneficial owner of 604,371 shares of the Common Stock.* As of December 31, 2001, Tracey B. Daw was the beneficial owner of 299,300 shares of the Common Stock.* (b) Percent of Class owned by Ronald W. Daw: 15.8% Percent of Class owned by Tracey B. Daw: 7.9% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: As of December 31, 2001, Ronald W. Daw had sole power to vote or to direct the vote of 305,246 shares of the Common Stock, which included 208,546 shares held by Ronald W. Daw, 54,825 shares owned by the Ronald Daw Family Limited Partnership, 36,250 shares underlying presently exercisable options and 5,625 shares underlying presently exercisable warrants.* As of December 31, 2001, Tracey B. Daw had sole power to vote or direct the vote of 175 shares of the Common Stock, which included 25 shares held by her individually and 150 shares held by her as trustee of the Reporting Persons' children's trust.* (ii) Shared power to vote or to direct the vote: As of December 31, 2001, the Reporting Persons shared the power to vote or to direct the vote of 299,125 shares jointly held by the Reporting Persons.* In addition, Tracey B. Daw may be deemed to share the power to vote or direct the vote of the 263,371 shares held by Ronald W. Daw and the Ronald Daw Family Limited Partnership, and Ronald W. Daw may be deemed to share the power to vote or direct the vote of the 175 shares held by Tracey B. Daw, individually and as trustee of the Reporting Persons' children's trust.* (iii) Sole power to dispose or to direct the disposition of: As of December 31, 2001, Ronald W. Daw had sole power to dispose of or to direct the disposition of 305,246 shares of the Common Stock, which included 208,546 shares held by Ronald W. Daw, 54,825 shares owned by the Ronald Daw Family Limited Partnership, 36,250 shares underlying presently exercisable options and 5,625 shares underlying presently exercisable warrants.* As of December 31, 2001, Tracey B. daw had sole power to dispose of or to direct the disposition of 175 shares of the Common Stock, which included 25 shares held by her individually and 150 shares held by her as trustee of the Reporting Persons' children's trust.* 4 CUSIP No. 23922010 (iv) Shared power to dispose or to direct the disposition of: As of December 31, 2001, the Reporting Persons shared the power to dispose of or to direct the disposition of 299,125 shares jointly held by the Reporting Persons.* In addition, Tracey B. Daw may be deemed to share the power to dispose of or direct the disposition of the 263,371 shares held by Ronald W. Daw and the Ronald Daw Family Limited Partnership, and Ronald W. Daw may be deemed to share the power to dispose of or direct the disposition of the 175 shares held by Tracey B. Daw, individually and as trustee of the Reporting Persons' children's trust.* * All numbers reflect a 1-for-4 reverse stock split which was effective in 2001. The filing of this Amendment No. 9 to Schedule 13G shall not be construed as an admission that the Reporting Persons, for purposes of Section 13(d) and 13(g) of the Securities Exchange Act of 1934, are the beneficial owners of all of the securities covered by this Schedule 13G. 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 Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person 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. Certifications Not applicable. 5 CUSIP No. 23922010 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. DATED: February 13, 2002 DATED: February 13, 2002 ------------------ -------------------- /s/ Ronald W. Daw /s/ Tracey B. Daw - ------------------------- -------------------------------------------- Ronald W. Daw Tracey B. Daw by Ronald W. Daw, Attorney-in- Fact pursuant to a Power of Attorney dated May 30, 1996, a copy of which is on file with the Commission and incorporated herein by this reference 6 CUSIP No. 23922010 INDEX TO EXHIBITS Exhibit Description ------- ----------- A Written agreement relating to the filing of a joint statement by Ronald W. Daw and Tracey B. Daw as required by Rule 13d-1(k) under the Securities Exchange Act of 1934 7 CUSIP No. 23922010 EXHIBIT A AGREEMENT The undersigned agree that this Amendment No. 9 to Schedule 13G of Ronald W. Daw and Tracey B. Daw relating to the shares of Common Stock of Daw Technologies, Inc., shall be filed on behalf of each of the undersigned. DATED: February 13, 2002 DATED: February 13, 2002 ------------------ ---------------------------- /s/ Ronald W. Daw /s/ Tracey B. Daw - ------------------------- -------------------------------------------- Ronald W. Daw Tracey B. Daw by Ronald W. Daw, Attorney-in- Fact pursuant to a Power of Attorney dated May 30, 1996, a copy of which is on file with the Commission and incorporated herein by this reference 8 -----END PRIVACY-ENHANCED MESSAGE-----