ASV / ASV Holdings Inc. - Documents déposés auprès de la SEC, rapport annuel, procuration

- SD

SD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT ASV HOLDINGS, INC. (Exact name of the 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, MN 55744 (Address of princip

Conflict Minerals Report as required by Item 1.01 and 1.02 of this Form

EX-1.01 Exhibit 1.01 ASV Holdings, Inc. Conflict Minerals Report For Calendar Year Ended December 31, 2019 Introduction and Summary This report for the year ended December 31, 2019 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (“SEC”) to implement reporting and disclosure requirements pu

ASV / ASV Holdings Inc. 15-12B - - 15-12B

15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-38089 ASV HOLDINGS, INC. (Exact name of registrant as specified

ASV / ASV Holdings Inc. S-8 POS - - S-8 POS

S-8 POS As filed with the Securities and Exchange Commission on September 17, 2019 Registration No.

ASV / ASV Holdings Inc. POS AM - - POS AM

POS AM As filed with the Securities and Exchange Commission on September 17, 2019 Registration No.

ASV / ASV Holdings Inc. POS AM - - POS AM

POS AM As filed with the Securities and Exchange Commission on September 17, 2019 Registration No.

Acquisition of ASV Holdings, Inc. By Yanmar Closes

EX99.1 Acquisition of ASV Holdings, Inc. By Yanmar Closes ASV Press Release 9/11/2019 GRAND RAPIDS, Minn. — ASV Holdings, Inc. (“ASV” or the “Company”) (NASDAQ: ASV), a leading provider of rubber-tracked compact track loaders and wheeled skid steer loaders in the compact construction equipment market, announced today that the previously-announced acquisition of ASV by Yanmar America Corporation, a

Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

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): September 11, 2019 ASV HOLDINGS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38089 82-1501649 (State or Other Jurisdiction of Incorporation) (Commission F

ASV Stockholders Approve Acquisition By Yanmar

EX99.1 ASV Stockholders Approve Acquisition By Yanmar ASV Press Release 9/4/2019 GRAND RAPIDS, Minn. — ASV Holdings, Inc. (“ASV” or the “Company”) (NASDAQ: ASV), a leading provider of rubber-tracked compact track loaders and wheeled skid steer loaders in the compact construction equipment market, announced that at a special meeting of stockholders held earlier today, ASV’s stockholders voted to ad

Financial Statements and Exhibits, Other Events

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): September 4, 2019 ASV HOLDINGS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38089 82-1501649 (State or Other Jurisdiction of Incorporation) (Commission Fi

ASV / ASV Holdings Inc. DEFA14A - - DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

ASV Holdings, Inc. Reports Second Quarter 2019 Results

EX 99.1 ASV Holdings, Inc. Reports Second Quarter 2019 Results Grand Rapids, MN, July 31, 2019 — ASV Holdings, Inc. (Nasdaq: ASV), a leading provider of rubber-tracked compact track loaders and wheeled skid steer loaders in the compact construction equipment market, today announced Second Quarter 2019 results. For the three months ended June 30, 2019, the Company reported Net Sales of $36.0 millio

Financial Statements and Exhibits

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): July 31, 2019 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) (C

ASV / ASV Holdings Inc. 10-Q - Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38089 ASV HOLDINGS, INC.

ASV / ASV Holdings Inc. DEFM14A - - DEFM14A

DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

ASV / ASV Holdings Inc. PREM14A - - PREM14A

PREM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Voting Agreement, dated June 26, 2019, between A.S.V Holding, LLC and Yanmar America Corporation

EX-10.1 Exhibit 10.1 VOTING AGREEMENT This Voting Agreement (this “Agreement”) is entered into as of June 26, 2019, among Yanmar America Corporation, a Georgia corporation (“Parent”), and A.S.V. Holding, LLC, a Delaware limited liability company (the “Stockholder”). Capitalized terms used but not defined herein shall have the meanings ascribed to such terms in the Merger Agreement (as defined belo

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

8-K 1 d778233d8k.htm 8-K 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 26, 2019 ASV HOLDINGS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38089 82-1501649 (State or Other Jurisdiction of Incorpor

Form of Retention Agreement

EX-10.2 Exhibit 10.2 RETENTION BONUS AGREEMENT This Retention Bonus Agreement (this “Agreement”) is made and entered into effective as of June [ ], 2019 (the “Effective Date”), by and between ASV Holdings, Inc. (the “Company”), a Delaware corporation and [Name of employee] (the “Recipient”). RECITALS WHEREAS, the Company is exploring options for a potential Change of Control Transaction (as define

Agreement and Plan of Merger, dated as of June 26, 2019, by and among ASV Holdings, Inc., Yanmar America Corporation, Osaka Merger Sub, Inc. and Yanmar Co., Ltd. (incorporated herein by reference to Exhibit 2.1 to ASV’s Current Report on Form 8-K, filed on June 27, 2019).

EX-2.1 Exhibit 2.1 AGREEMENT AND PLAN OF MERGER among YANMAR AMERICA CORPORATION, OSAKA MERGER SUB, INC. and ASV HOLDINGS, INC. and YANMAR CO., LTD. Dated as of June 26, 2019 TABLE OF CONTENTS Page ARTICLE I DEFINED TERMS Section 1.01 Certain Defined Terms 2 Section 1.02 Other Defined Terms 11 Section 1.03 Interpretation; Headings 12 ARTICLE II THE MERGER Section 2.01 The Merger 13 Section 2.02 Cl

ASV Holdings, Inc. Signs Definitive Merger Agreement With Yanmar Holdings

EX-99.1 Exhibit 99.1 ASV Holdings, Inc. Signs Definitive Merger Agreement With Yanmar Holdings Grand Rapids, MN., June 27, 2019 — ASV Holdings, Inc. (NASDAQ: ASV), a leading provider of rubber-tracked compact track loaders (CTLs) and wheeled skid steer loaders (SSLs) in the compact construction equipment market, today announced that it has entered into a definitive merger agreement with an affilia

Form of Retention Agreement

EX-10.2 Exhibit 10.2 RETENTION BONUS AGREEMENT This Retention Bonus Agreement (this “Agreement”) is made and entered into effective as of June [ ], 2019 (the “Effective Date”), by and between ASV Holdings, Inc. (the “Company”), a Delaware corporation and [Name of employee] (the “Recipient”). RECITALS WHEREAS, the Company is exploring options for a potential Change of Control Transaction (as define

Agreement and Plan of Merger, dated June 26, 2019 among Yanmar America Corporation, a Georgia corporation , Osaka Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent (“Merger Sub”), Yanmar, Co. Ltd., a company organized under the laws of Japan and ASV Holding, Inc., a Delawre corporation.

EX-2.1 Exhibit 2.1 AGREEMENT AND PLAN OF MERGER among YANMAR AMERICA CORPORATION, OSAKA MERGER SUB, INC. and ASV HOLDINGS, INC. and YANMAR CO., LTD. Dated as of June 26, 2019 TABLE OF CONTENTS Page ARTICLE I DEFINED TERMS Section 1.01 Certain Defined Terms 2 Section 1.02 Other Defined Terms 11 Section 1.03 Interpretation; Headings 12 ARTICLE II THE MERGER Section 2.01 The Merger 13 Section 2.02 Cl

Voting Agreement, dated June 26, 2019, between A.S.V Holding, LLC and Yanmar America Corporation

EX-10.1 Exhibit 10.1 VOTING AGREEMENT This Voting Agreement (this “Agreement”) is entered into as of June 26, 2019, among Yanmar America Corporation, a Georgia corporation (“Parent”), and A.S.V. Holding, LLC, a Delaware limited liability company (the “Stockholder”). Capitalized terms used but not defined herein shall have the meanings ascribed to such terms in the Merger Agreement (as defined belo

Press Release, dated June 27, 2019

EX-99.1 Exhibit 99.1 ASV Holdings, Inc. Signs Definitive Merger Agreement With Yanmar Holdings Grand Rapids, MN., June 27, 2019 — ASV Holdings, Inc. (NASDAQ: ASV), a leading provider of rubber-tracked compact track loaders (CTLs) and wheeled skid steer loaders (SSLs) in the compact construction equipment market, today announced that it has entered into a definitive merger agreement with an affilia

ASV / ASV Holdings Inc. DEFA14A - - 8-K

8-K 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 26, 2019 ASV HOLDINGS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38089 82-1501649 (State or Other Jurisdiction of Incorporation) (Commission Fi

Current Report

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 13, 2019 ASV HOLDINGS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38089 82-1501649 (State or Other Jurisdiction of Incorporation) (Commission File N

ASV Holdings, Inc. Conflict Minerals Report For Calendar Year Ended December 31, 2018

EX-1.01 2 asv-ex1016.htm EX-1.01 Exhibit 1.01 ASV Holdings, Inc. Conflict Minerals Report For Calendar Year Ended December 31, 2018 Introduction and Summary This report for the year ended December 31, 2018 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (“SEC”) to implement reporting and d

ASV / ASV Holdings Inc. SD - - SD

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD SPECIALIZED DISCLOSURE REPORT ASV HOLDINGS, INC. (Exact name of the 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, MN 55744 (Address of principal

ASV / ASV Holdings Inc. 10-K/A - Annual Report - 10-K/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 3 (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-380

ASV / ASV Holdings Inc. 10-K/A - Annual Report - 10-K/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 2 (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-380

ASV / ASV Holdings Inc. CORRESP - -

Jonathan b. abram Partner (612) 343-7962 FAX (612) 395-5376 [email protected] May 23, 2019 VIA FEDERAL EXPRESS Division of Corporate Finance Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attn: Kristin Lochhead, Senior Accountant Brian Cascio, Accounting Branch Chief Re: ASV Holdings, Inc. Form 10-K for the fiscal year ended December 31, 2018 Filed March 29, 201

Financial Statements and Exhibits

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): May 2, 2019 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) (Com

ASV Holdings, Inc. Q1-2019 Earnings Conference Call – May 2, 2019 EX 99.2

ASV Holdings, Inc. Q1-2019 Earnings Conference Call – May 2, 2019 EX 99.2 Forward-Looking Statements & Non-GAAP Financial Measures This presentation contains forward-looking statements. In some cases, you can identify forward-looking statements by terminology such as “may,” “should,” “expects,” “plans,” “anticipates,” “believes,” “estimates,” “predicts,” “potential,” “intends” or “continue,” and o

ASV Holdings, Inc. Reports First Quarter 2019 Results

EX 99.1 ASV Holdings, Inc. Reports First Quarter 2019 Results Grand Rapids, MN, May 2, 2019 — ASV Holdings, Inc. (Nasdaq: ASV), a leading provider of rubber-tracked compact track loaders and wheeled skid steer loaders in the compact construction equipment market, today announced First Quarter 2019 results. For the three months ended March 31, 2019, the Company reported Net Sales of $27.3 million a

ASV / ASV Holdings Inc. 10-Q Quarterly Report 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38089 ASV HOLDINGS, INC.

ASV / ASV Holdings Inc. DEFA14A DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

ASV / ASV Holdings Inc. DEF 14A DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin

ASV / ASV Holdings Inc. 10-K/A (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-380

Regulation FD Disclosure, Financial Statements and Exhibits

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): April 9, 2019 ASV HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware001-3808982-1501649 (State or other jurisdiction of incorporation or organization)(Comm

ASV Holdings, Inc. (Nasdaq:ASV) CHANGE THE WAY EVERY JOB GETS DONE As a worldwide expert in designing and producing premium, hard-working machinery, ASV gives operators the advantage they need to get more work done at every jobsite. April 2019 EX 99.

ASV Holdings, Inc. (Nasdaq:ASV) CHANGE THE WAY EVERY JOB GETS DONE As a worldwide expert in designing and producing premium, hard-working machinery, ASV gives operators the advantage they need to get more work done at every jobsite. April 2019 EX 99.1 Forward-Looking Statements & Non-GAAP Financial Measures This presentation contains forward-looking statements. In some cases, you can identify forw

Regulation FD Disclosure, Financial Statements and Exhibits

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): April 1, 2019 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) (C

ASV Holdings, Inc. Q4 and Full Year 2018 Earnings Conference Call – April 2nd 2019 EX 99.1

ASV Holdings, Inc. Q4 and Full Year 2018 Earnings Conference Call – April 2nd 2019 EX 99.1 Forward-Looking Statements & Non-GAAP Financial Measures This presentation contains forward-looking statements. In some cases, you can identify forward-looking statements by terminology such as “may,” “should,” “expects,” “plans,” “anticipates,” “believes,” “estimates,” “predicts,” “potential,” “intends” or

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): March 29, 2019 ASV HOLDINGS, INC.

ASV Holdings, Inc. Reports Fourth Quarter and Full Year 2018 Results Files SEC Form 10-K Within Reporting Deadline as Follow up to Preliminary Results Announced March 14, 2019

EX 99.1 ASV Holdings, Inc. Reports Fourth Quarter and Full Year 2018 Results Files SEC Form 10-K Within Reporting Deadline as Follow up to Preliminary Results Announced March 14, 2019 Grand Rapids, MN, March 29, 2019 — ASV Holdings, Inc. (Nasdaq: ASV), a leading provider of rubber-tracked compact track loaders and wheeled skid steer loaders in the compact construction equipment market, today annou

ASV / ASV Holdings Inc. 10-K (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-38089 ASV HOLDINGS, I

Second Amendment to Amended and Restated Revolving Credit, Term Loan and Security Agreement, dated as of March 28, 2019 by and among ASV Holdings, Inc., the Loan Parties thereto, the Lenders and PNC Bank, National Association, as agent for the Lenders (incorporated by reference to Exhibit 10.2 to the Company’s Annual Report on Form 10-K filed on March 29, 2019).

EX 10.20 SECOND AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT This SECOND AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT (this “Second Amendment”) is entered into as of March 28, 2019, by and among ASV HOLDINGS, INC., a Delaware corporation (“ASV”, together with each Person joined to the Credit Agreement (as defined below

Letter Pricing Agreement, dated October 3, 2017, by and between the Company and Caterpillar Inc.

EXPLANATORY NOTE: [*] INDICATES THE PORTION OF THIS EXHIBIT THAT HAS BEEN OMITTED AND SEPARATELY FILED WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO A FOIA REQUEST FOR CONFIDENTIAL TREATMENT.

ASV Holdings, Inc. Announces Delay in Final Financial Results and Reports on Preliminary Fourth Quarter and Full Year 2018 Results

EX 99.1 ASV Holdings, Inc. Announces Delay in Final Financial Results and Reports on Preliminary Fourth Quarter and Full Year 2018 Results Grand Rapids, MN, March 14, 2019 — ASV Holdings, Inc. (Nasdaq: ASV), a leading provider of rubber-tracked compact track loaders and wheeled skid steer loaders in the compact construction equipment market, today announced that it is delaying the release of its F

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): March 14, 2019 ASV HOLDINGS, INC.

ASV / ASV Holdings Inc. / GILDER GAGNON HOWE & CO LLC - SC 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (RULE 13d - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (Amendment No. 3)* ASV Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00215L104 (CUSIP Number) December 31, 2018 (Date of Event

ASV / ASV Holdings Inc. / GILDER GAGNON HOWE & CO LLC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (RULE 13d - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (Amendment No. 2)* ASV Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00215L104 (CUSIP Number) December 31, 2018 (Date of Event

ASV / ASV Holdings Inc. / Manitex International, Inc. - SC 13G/A Passive Investment

SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.

ASV Holdings, Inc. Reports Third Quarter 2018 Results

EX 99.1 ASV Holdings, Inc. Reports Third Quarter 2018 Results Grand Rapids, MN, November 1, 2018 — ASV Holdings, Inc. (Nasdaq: ASV), a leading provider of rubber-tracked compact track loaders and wheeled skid steer loaders in the compact construction equipment market, today announced Third Quarter and year-to-date 2018 results. For the three months ended September 30, 2018, the Company reported Ne

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): November 1, 2018 ASV HOLDINGS, INC.

ASV Holdings, Inc. Q3 2018 Earnings Conference Call November 1, 2018 Ex 99.2

ASV Holdings, Inc. Q3 2018 Earnings Conference Call November 1, 2018 Ex 99.2 This presentation contains forward-looking statements. In some cases, you can identify forward-looking statements by terminology such as “may,” “should,” “expects,” “plans,” “anticipates,” “believes,” “estimates,” “predicts,” “potential,” “intends” or “continue,” and other similar expressions that are predictions of or in

ASV / ASV Holdings Inc. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38089 ASV HOLDINGS, INC.

First Amendment to Amended and Restated Revolving Credit, Term Loan and Security Agreement, dated as of October 29, 2018 by and among ASV Holdings, Inc., the Loan Parties thereto, the Lenders and PNC Bank, National Association, as agent for the Lenders.

EX10.1 FIRST AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT This FIRST AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT (this “First Amendment”) is entered into as of October 29, 2018, by and among ASV HOLDINGS, INC., a Delaware corporation (“ASV”, together with each Person joined to the Credit Agreement (as defined below) a

ASV Holdings, Inc. Q2 2018 Earnings Conference Call August 9, 2018 EX 99.2

ASV Holdings, Inc. Q2 2018 Earnings Conference Call August 9, 2018 EX 99.2 This presentation contains forward-looking statements. In some cases, you can identify forward-looking statements by terminology such as “may,” “should,” “expects,” “plans,” “anticipates,” “believes,” “estimates,” “predicts,” “potential,” “intends” or “continue,” and other similar expressions that are predictions of or indi

ASV Holdings, Inc. Reports Second Quarter 2018 Results

EX 99.1 ASV Holdings, Inc. Reports Second Quarter 2018 Results Grand Rapids, MN, August 9, 2018 — ASV Holdings, Inc. (Nasdaq: ASV), a leading provider of rubber-tracked compact track loaders and wheeled skid steer loaders in the compact construction equipment market, today announced Second Quarter and year-to-date 2018 results. For the three months ended June 30, 2018, the Company reported Net Sal

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 asv-8k20180630.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 9, 2018 ASV HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-38089 82-1501649 (State or Other Jurisdiction of Incorpora

ASV / ASV Holdings Inc. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38089 ASV HOLDINGS, INC.

Submission of Matters to a Vote of Security Holders

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) Delaware001-3808982-1501649 (State or other jurisdiction of incorporation or organization)(Commi

Letter from UHY LLP to the Securities and Exchange Commission, dated May 18, 2018.

EXHIBIT 16.1 May 18, 2018 Securities and Exchange Commission 100F Street NE Washington, DC 20549 Ladies and Gentlemen: We have read item 4.01 of Form 8-K dated May 18, 2018, of ASV Holdings, Inc. and are in agreement with the statements in the paragraphs within that item as they relate to our firm. We have no basis to agree or disagree with other statements of the registrant contained herein. /s/

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

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): May 18, 2018 ASV HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware001-3808982-1501649 (State or other jurisdiction of incorporation or organization)(Commi

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): May 8, 2018 ASV HOLDINGS, INC.

This presentation contains forward-looking statements. In some cases, you can identify forward-looking statements by terminology such as “may,” “should,” “expects,” “plans,” “anticipates,” “believes,” “estimates,” “predicts,” “potential,” “intends” o

ASV Holdings, Inc. Q1 2018 Earnings Conference Call May 8, 2018 EXHIBIT 99.2 This presentation contains forward-looking statements. In some cases, you can identify forward-looking statements by terminology such as “may,” “should,” “expects,” “plans,” “anticipates,” “believes,” “estimates,” “predicts,” “potential,” “intends” or “continue,” and other similar expressions that are predictions of or in

ASV Holdings, Inc. Reports First Quarter 2018 Results

EXHIBIT 99.1 ASV Holdings, Inc. Reports First Quarter 2018 Results Grand Rapids, MN, May 8, 2018 — ASV Holdings, Inc. (Nasdaq: ASV), a leading provider of rubber-tracked compact track loaders and wheeled skid steer loaders in the compact construction equipment market, today announced First Quarter 2018 results. For the three months ended March 31, 2018, the Company reported Net Sales of $29.9 mill

ASV / ASV Holdings Inc. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38089 ASV HOLDINGS, INC.

ASV / ASV Holdings Inc. DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin

ASV / ASV Holdings Inc. DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin

Letter Pricing Agreement, dated October 3, 2017, by and between the Company and Caterpillar Inc.

EXPLANATORY NOTE: [*] INDICATES THE PORTION OF THIS EXHIBIT THAT HAS BEEN OMITTED AND SEPARATELY FILED WITH THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO A FOIA REQUEST FOR CONFIDENTIAL TREATMENT.

ASV / ASV Holdings Inc. 10-K (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-38089 ASV HOLDINGS, I

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 asv-8k20180322.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): March 22, 2018 ASV HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-38089 82-1501649 (State or Other Jurisdiction of Incorpora

This presentation contains forward-looking statements. In some cases, you can identify forward-looking statements by terminology such as “may,” “should,” “expects,” “plans,” “anticipates,” “believes,” “estimates,” “predicts,” “potential,” “intends” o

ASV Holdings, Inc. Q4 and Full Year 2017 Earnings Conference Call March 22, 2018 EXHIBIT 99.2 This presentation contains forward-looking statements. In some cases, you can identify forward-looking statements by terminology such as “may,” “should,” “expects,” “plans,” “anticipates,” “believes,” “estimates,” “predicts,” “potential,” “intends” or “continue,” and other similar expressions that are pre

— more —

EXHIBIT 99.1 ASV Holdings, Inc. Reports Full Year and Fourth Quarter 2017 Results Grand Rapids, MN, March 22, 2018 — ASV Holdings, Inc. (Nasdaq: ASV), a leading provider of rubber-tracked compact track loaders and wheeled skid steer loaders in the compact construction equipment market, today announced Full Year and Fourth Quarter 2017 results. For the Full Year 2017, the Company reported Net Sales

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): March 9, 2018 ASV HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware001-3808982-1501649 (State or other jurisdiction of incorporation or organization)(Comm

ASV Holdings, Inc. Provides Preliminary Full Year 2017 Update

EX 99.1 ASV Holdings, Inc. Provides Preliminary Full Year 2017 Update Grand Rapids, MN., March 9, 2018 – ASV Holdings, Inc. (NASDAQ: ASV), a leading provider of rubber-tracked compact track loaders and wheeled skid steer loaders in the compact construction equipment market, today announced preliminary, unaudited results for the full year 2017. Full year 2017 revenues are expected to be in the rang

Regulation FD Disclosure, Financial Statements and Exhibits

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): March 9, 2018 ASV HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware001-3808982-1501649 (State or other jurisdiction of incorporation or organization)(Comm

ASV Holdings, Inc. (NASDAQ:ASV) March 2018 EX 99.1

ASV Holdings, Inc. (NASDAQ:ASV) March 2018 EX 99.1 This presentation contains forward-looking statements. In some cases, you can identify forward-looking statements by terminology such as “may,” “should,” “expects,” “plans,” “anticipates,” “believes,” “estimates,” “predicts,” “potential,” “intends” or “continue,” and other similar expressions that are predictions of or indicate future events and f

ASV / ASV Holdings Inc. / GILDER GAGNON HOWE & CO LLC - SC 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (RULE 13d - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (Amendment No. 1)* ASV Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00215L104 (CUSIP Number) December 31, 2017 (Date of Event

ASV / ASV Holdings Inc. / A.s.v. Holding, Llc - SC 13G02132018 Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No.

ASV / ASV Holdings Inc. / Manitex International, Inc. - SC 13G Passive Investment

SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.

Current Report

asv-8k20180109.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): January 8, 2018 ASV HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-38089 82-1501649 (State or Other Jurisdiction of Incorporation) (Co

ASV / ASV Holdings Inc. ESP

CORRESP December 20, 2017 VIA EDGAR Mr. Tom Jones Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 RE: ASV Holdings, Inc. Registration Statement on Form S-1 File No. 333-222142 Dear Mr. Jones: In accordance with Rule 461 under the Securities Act of 1933, as amended, the undersigned registrant hereby requests that the effective date for the

ASV / ASV Holdings Inc. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38089 ASV HOLDINGS, INC.

ASV / ASV Holdings Inc. / GILDER GAGNON HOWE & CO LLC - SC 13G Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (RULE 13d - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (Amendment No.)* ASV Holdings, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00215L104 (CUSIP Number) August 31, 2017 (Date of Event whi

ASV / ASV Holdings Inc. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38089 ASV HOLDINGS, INC.

ASV / ASV Holdings Inc. 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38089 ASV HOLDINGS, INC.