-----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, Wk7NmjHQ5asPOoV4Fbm288XPDDWXoW49SENYBfQ8NIZtYFo6Wj/OiG4wccuHLWaV WBNQj2DgaLjsND5p8/bmig== 0000950123-09-043065.txt : 20090915 0000950123-09-043065.hdr.sgml : 20090915 20090914173521 ACCESSION NUMBER: 0000950123-09-043065 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090915 DATE AS OF CHANGE: 20090914 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Montfort John CENTRAL INDEX KEY: 0001472237 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 44 ELM STREET CITY: FISHKILL STATE: NY ZIP: 10011 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: 091068332 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 y02235asc13g.htm SCHEDULE 13G sc13g
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
PMFG, Inc.
(Name of Issuer)
COMMON STOCK
(Title of Class of Securities)
69345P103
(CUSIP Number)
Purchase of Securities through 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:
o Rule 13d-1(b)
þ Rule 13d-1(c)
o 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 disclosures provided in a prior cover page.
     The information required on 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.
 
69345P103 
 

 

           
1   NAMES OF REPORTING PERSONS
John Montfort
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   þ
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  United States of America
       
  5   SOLE VOTING POWER
     
NUMBER OF   929,639
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   -0-
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   929,639
       
WITH: 8   SHARED DISPOSITIVE POWER
     
    -0-
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  929,639
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  6.91%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  IN


 

ITEM 1.
(A)   NAME OF ISSUER
 
    PMFG, Inc.
 
(B)   ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICE
 
    14651 North Dallas Parkway, Suite 500
 
    Dallas, Texas 75254
ITEM 2.
(A)   NAME OF PERSON FILING
 
    John Montfort
 
(B)   ADDRESS OF PRINCIPAL BUSINESS OFFICE OR IF NONE, RESIDENCE
 
    44 Elm Street, Fishkill, New York 12524

 


 

(C)   CITIZENSHIP
 
    United States
 
(D)   TITLE OF CLASS OF SECURITIES
 
    Common Stock
 
(E)   CUSIP NUMBER
 
    69345P103
ITEM 3.
    If this statement is filed pursuant to rule 240.13d- 1(b), or 240.13d- 2(b)or (c), check whether the person filing is a:
      Not applicable. Passive Investor.
  (a)   o Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
 
  (b)   o Bank as defined in section 3(a)(6) of the Act (15 U.S.C.78c).
 
  (c)   o Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
 
  (d)   o Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
 
  (e)   o An investment adviser in accordance with 240.13d- 1(b)(1)(ii)(E).
 
  (f)   o An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F).
 
  (g)   o A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G)
 
  (h)   o A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
 
  (i)   o A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).
 
  (j)   o Group, in accordance with section 240.13d-1(b)(1)(ii)(J).
ITEM 4. OWNERSHIP.
     Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
  (a)   Amount beneficially owned: 929,639
 
  (b)   Percent of class: 6.91%

 


 

  (c)   Number of shares as to which the person has:
 
  (i)   Sole power to vote or to direct the vote:
 
      929,639
 
  (ii)   Shared power to vote or to direct the vote:
 
      -0-
 
  (iii)   Sole power to dispose or to direct the disposition of:
 
      929,639
 
  (iv)   Shared power to dispose or to direct the disposition 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 five percent of the class of securities, check the following o.
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
     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.
Dated: September 14, 2009
         
     
  By:   /s/ John Montfort    
    John Montfort   
       
 

 

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