-----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, O9d7fAeJQiBL3nfRr7xtlTrqikfl9pZZcFHOINQO9nAYte8EoT06+JRYPWY2jft5 CoxlnQRW1ELs+wBf5E+YGg== 0001476961-11-000033.txt : 20110218 0001476961-11-000033.hdr.sgml : 20110218 20110218144439 ACCESSION NUMBER: 0001476961-11-000033 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20110218 DATE AS OF CHANGE: 20110218 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GORGUZE VINCENT CENTRAL INDEX KEY: 0001472241 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 1200 PROSPECT STREET, SUITE 325 CITY: LA JOLLA 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-84268 FILM NUMBER: 11624100 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/A 1 pmfg_1210vgg.txt PMFG 123110 VGG TR SCHEDULE 13G (Rule 13d-102) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Under the Securities Exchange Act of 1934 (Amendment No. 1)* PMFG, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 69345P103 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2010 - -------------------------------------------------------------------------------- (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. CUSIP NO. 69345P103 13G Page 2 of 6 Pages - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. Vincent Gorguze - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization USA - -------------------------------------------------------------------------------- 5. Sole Voting Power Number of 0 Shares -------------------------------------------------------------- Beneficially 6. Shared Voting Power Owned by Each 1,282,467 (1) Reporting -------------------------------------------------------------- Person 7. Sole Dispositive Power With: 0 -------------------------------------------------------------- 8. Shared Dispositive Power 1,282,467 (1) - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,282,467 (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) 6.8% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- (1) Shares are held in the Vincent and Gloria Gorguze Trust dated March 27, 1998 (the "Trust"), of which Mr. Gorguze and Gloria Gorguze, his spouse, are co-trustees. The Trust beneficially owns 813,717 shares of Common Stock directly. The Trust 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. CUSIP NO. 69345P103 13G Page 3 of 6 Pages - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. Gloria Gorguze - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization USA - -------------------------------------------------------------------------------- 5. Sole Voting Power Number of 0 Shares -------------------------------------------------------------- Beneficially 6. Shared Voting Power Owned by Each 1,282,467 (1) Reporting -------------------------------------------------------------- Person 7. Sole Dispositive Power With: 0 -------------------------------------------------------------- 8. Shared Dispositive Power 1,282,467 (1) - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,282,467 (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) 6.8% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- (1) Shares are held in the Vincent and Gloria Gorguze Trust dated March 27, 1998 (the "Trust"), of which Mrs. Gorguze and Vincent Gorguze, her spouse, are co-trustees. The Trust beneficially owns 813,717 shares of Common Stock directly. The Trust 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. CUSIP NO. 69345P103 13G Page 4 of 6 Pages - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. Vincent and Gloria Gorguze Trust dated March 27, 1998 - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization USA - -------------------------------------------------------------------------------- 5. Sole Voting Power Number of 0 Shares -------------------------------------------------------------- Beneficially 6. Shared Voting Power Owned by Each 1,282,467 (1) Reporting -------------------------------------------------------------- Person 7. Sole Dispositive Power With: 0 -------------------------------------------------------------- 8. Shared Dispositive Power 1,282,467 (1) - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,282,467 (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) 6.8% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- (1) The Vincent and Gloria Gorguze Trust dated March 27, 1998 (the "Trust") beneficially owns 813,717 shares of Common Stock directly. The Trust 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. CUSIP NO. 69345P103 13G Page 5 of 6 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: --------------------- Vincent Gorguze, Gloria Gorguze and the Vincent and Gloria Gorguze Trust dated March 27, 1998 (the "Trust") Item 2(b) Address of Principal Business Office: ------------------------------------ 1200 Prospect Street, Suite 325 LaJolla, CA 92037 Item 2(c) Citizenship: ----------- Vincent and Gloria Gorguze are citizens of the USA and the Trust is formed under the laws of the State of California. 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: 1,282,467 Item 4(b) Percent of Class: 6.8% Item 4(c)(i) Sole Power to Vote or to Direct the Vote: 0 Item 4(c)(ii) Shared Power to Vote or to Direct the Vote: 1,282,467 Item 4(c)(iii) Sole Power to Dispose or to Direct the Disposition of: 0 Item 4(c)(iv) Shared Power to Dispose or to the Deposition of: 1,282,467 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 CUSIP NO. 69345P103 13G Page 6 of 6 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: February 18, 2011 /s/ Vincent Gorguze ------------------------------ Vincent Gorguze /s/ Gloria M. Gorguze ------------------------------ Gloria Gorguze Vincent and Gloria Gorguze, Trust dated March 27, 1998 By: /s/ Vincent Gorguze --------------------------- Vincent Gorguze, Co-Trustee By: /s/ Gloria M. Gorguze --------------------------- Gloria Gorguze, Co-Trustee Attention: Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). EX-99.1 CHARTER 2 gorgvsc13gex99.txt EX 99.1 - EXHIBIT A TO SCHEDULE 13G/A EXHIBIT 99.1 - EXHIBIT A TO SCHEDULE 13G Exhibit 99.1 EXHIBIT A Joint Filing Agreement This Joint Filing Agreement is dated as of December 31, 2010 by and among Vincent Gorguze, Gloria Gorguze and the Vincent and Gloria Gorguze Trust dated March 27, 1998. WHEREAS, pursuant to Rule 240.13d-1(k) promulgated under Section 13(d) of the Securities Exchange Act of 1934, as amended (Exchange Act), the parties hereto have decided to satisfy their filing obligations under the Exchange Act by a single joint filing; NOW THEREFORE, the parties hereto agree as follows: 1. The Schedule 13G/A with respect to PMFG, Inc. to which this agreement is attached as Exhibit A (Schedule 13G/A) is filed on behalf of each of the parties hereto. 2. Each of the parties hereto is eligible to use the Schedule 13G/A. 3. Each of the parties hereto is responsible for the timely filing of the Schedule 13G/A and any amendments thereto, and for the completeness and accuracy of the information concerning such person or entity contained in the Schedule 13G/A; provided that each person or entity is not responsible for the completeness or accuracy of the information concerning any other person making such filing contained in the Schedule 13G, unless such person or entity knows or has reason to believe that such information is inaccurate. IN WITNESS WHEREOF, the parties hereto have executed this Joint Filing Agreement as of the date first above written. /s/ Vincent Gorguze Vincent Gorguze /s/ Gloria M. Gorguze Gloria Gorguze Vincent and Gloria Gorguze Trust dated March 27, 1998 By: /s/ Vincent Gorguze Vincent Gorguze, Co-Trustee By: /s/ Gloria M. Gorguze Gloria Gorguze, Co-Trustee -----END PRIVACY-ENHANCED MESSAGE-----