-----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, IhUr7uK8YXj2ggVrWO+9VsXe5OzHT007U0ZwuD+aYmuQ5zyUfQiFBoDcPA5yDOuL UWY0IHHzmIzgaQWPAtNQoQ== 0001011240-09-000019.txt : 20090914 0001011240-09-000019.hdr.sgml : 20090914 20090914172538 ACCESSION NUMBER: 0001011240-09-000019 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090914 DATE AS OF CHANGE: 20090914 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GORGUZE LYNN E CENTRAL INDEX KEY: 0001358568 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 1200 PROSPECT STREET STREET 2: SUITE 325 CITY: LAJOLLA STATE: CA ZIP: 92037 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PMFG, Inc. CENTRAL INDEX KEY: 0001422862 STANDARD INDUSTRIAL CLASSIFICATION: GENERAL INDUSTRIAL MACHINERY & EQUIPMENT, NEC [3569] IRS NUMBER: 510661574 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-84268 FILM NUMBER: 091068221 BUSINESS ADDRESS: STREET 1: 14651 NORTH DALLAS PARKWAY STREET 2: SUITE 500 CITY: DALLAS STATE: TX ZIP: 75254 BUSINESS PHONE: (214) 357-6181 MAIL ADDRESS: STREET 1: 14651 NORTH DALLAS PARKWAY STREET 2: SUITE 500 CITY: DALLAS STATE: TX ZIP: 75254 SC 13G 1 gorlsc13g.txt SCHEDULE 13G SCHEDULE 13G (Rule 13d-102) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Under the Securities Exchange Act of 1934 (Amendment No. ____)* PMFG, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 69345P103 - -------------------------------------------------------------------------------- (CUSIP Number) September 4, 2009 - -------------------------------------------------------------------------------- (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) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) This 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). *The remainder of this cover page shall be filled out for a reporting persons' 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. CUSPIP NO. 69345P103 13G Page 2 of 4 Pages - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. Lynn E. Gorguze - -------------------------------------------------------------------------------- 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 USA - -------------------------------------------------------------------------------- 5. Sole Voting Power Number of 1,113,798 (1) Shares -------------------------------------------------------------- Beneficially 6. Shared Voting Power Owned by Each 0 Reporting -------------------------------------------------------------- Person 7. Sole Dispositive Power With: 1,113,798 (1) -------------------------------------------------------------- 8. Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,113,798 (1) - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 8.22% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- (1) Shares are held in The Lynn Gorguze Separate Property Trust, of which Ms. Gorguze is the sole trustee. Ms. Gorguze beneficially owns 645,048 shares of Common Stock directly. Ms. Gorguze has the right to acquire 312,500 shares of Common Stock upon the conversion of 6% Series A Convertible Preferred Shares and 156,250 shares of Common Stock upon the exercise of a warrant issued in connection with the 6% Series A Convertible Preferred Shares. CUSPIP NO. 69345P103 13G Page 3 of 4 Pages - -------------------------------------------------------------------------------- Item 1(a) Name of Issuer: -------------- PMFG, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- 14651 North Dallas Parkway, Suite 500 Dallas, Texas 75254 Item 2(a) Name of Person Filing: --------------------- Lynn E. Gorguze Item 2(b) Address of Principal Business Office: ------------------------------------ 1200 Prospect Street, Suite 325 LaJolla, CA 92037 Item 2(c) Citizenship: ----------- USA Item 2(d) Title of Class Securities: ------------------------- Common Stock Item 2(e) CUSIP Number: ------------ 69345P103 Item 3 N/A Item 4 Ownership: --------- Item 4(a) Amount Beneficially Owned: 1,113,798 Item 4(b) Percent of Class: 8.22% Item 4(c)(i) Sole Power to Vote or to Direct the Vote: 1,113,798 Item 4(c)(ii) Shared Power to Vote or to Direct the Vote: 0 Item 4(c)(iii) Sole Power to Dispose or to Direct the Disposition of: 1,113,798 Item 4(c)(iv) Shared Power to Dispose or to the Deposition of: 0 Item 5 Ownership of Five Percent or Less of a Class: -------------------------------------------- If this statement is being filed to report the fact that as of the date hereof, the reporting person has ceased to be the beneficial owner of more than 5% of the class of securities, check the following: [ ] Item 6 Ownership of More than Five Percent on Behalf of Another Person: --------------------------------------------------------------- N/A. Item 7 Identification and Classification of the Subsidiary Which --------------------------------------------------------- Acquired the Security Being Reported on by the Parent Holding ------------------------------------------------------------ Company: ------- N/A Item 8 Identification and Classification of Members of the Group: --------------------------------------------------------- N/A CUSPIP NO. 69345P103 13G Page 4 of 4 Pages - -------------------------------------------------------------------------------- Item 9 Notice of Dissolution of Group: ------------------------------ N/A Item 10 Certification: ------------- N/A 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. Date: September 14, 2009 Signature: /s/ Lynn E. Gorguze ------------------- Name/Title Lynn E. Gorguze Attention: Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----