0001476961-12-000027.txt : 20120216 0001476961-12-000027.hdr.sgml : 20120216 20120215183637 ACCESSION NUMBER: 0001476961-12-000027 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20120216 DATE AS OF CHANGE: 20120215 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: 12617186 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_123111_A2_vgg.txt PMFG 123111 V GORGUZE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* PMFG, Inc. -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 par value -------------------------------------------------------------------------------- (Title of Class of Securities) 69345P103 -------------------------------------------------------------------------------- (CUSIP NUMBER) December 31, 2011 -------------------------------------------------------------------------------- (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) * 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). 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) 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: 0 -------------------------------------------------------------------------------- 6. Shared Voting Power: 1,287,467 (1) -------------------------------------------------------------------------------- 7. Sole Dispositive Power: 0 -------------------------------------------------------------------------------- 8. Shared Dispositive Power: 1,287,467 (1) -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,287,467 (1) -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 7.2% -------------------------------------------------------------------------------- 12. Type of Reporting Person: IN -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) 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: 0 -------------------------------------------------------------------------------- 6. Shared Voting Power: 1,287,467 (2) -------------------------------------------------------------------------------- 7. Sole Dispositive Power: 0 -------------------------------------------------------------------------------- 8. Shared Dispositive Power: 1,287,467 (2) -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,287,467 (1) -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 7.2% -------------------------------------------------------------------------------- 12. Type of Reporting Person: IN -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) 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: 0 -------------------------------------------------------------------------------- 6. Shared Voting Power: 1,287,467 (3) -------------------------------------------------------------------------------- 7. Sole Dispositive Power: 0 -------------------------------------------------------------------------------- 8. Shared Dispositive Power: 1,287,467 (3) -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,287,467 (3) -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 7.2% -------------------------------------------------------------------------------- 12. Type of Reporting Person: IN -------------------------------------------------------------------------------- Item 1. (a) Name of Issuer PMFG, Inc. Item 2. (b) Address of Issuers 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 Trustis 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. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: Not applicable. Item 4. Ownership: (a) Amount Beneficially Owned: 1,287,467 (b) Percent of Class: 7.2% (c) Number of shares as to which the person has: (i) Sole Power to Vote or to Direct the Vote: 0 (ii) Shared Power to Vote or to Direct the Vote: 1,287,467 (iii) Sole Power to Dispose or to Direct the Disposition of: 0 (iv) Shared Power to Dispose or to the Deposition of: 1,287,467 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: 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 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 of effect. 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 9, 2012 Signature: /s/ Vincent Gorguze Name/Title Vincent Gorguze Signature: /s/ Gloria M. Gorguze Name/Title Gloria Gorguze Vincent and Gloria Gorguze, Trust dated March 27, 1998 By: Signature: /s/ Vincent Gorguze Name/Title Vincent Gorguze, Co-Trustee Signature: /s/ Gloria M. Gorguze Name/Title Gloria Gorguze, Co-Trustee ______________________________________________________________________________ (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 1,131,217 shares of common stock directly. The Trust has warrants to purchase 156,250 shares of common stock, which may be exercised within 60 days of December 31, 2011. (2) 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 1,131,217 shares of common stock directly. The Trust has warrants to purchase 156,250 shares of common stock, which may be exercised within 60 days of December 31, 2011. (3) The Vincent and Gloria Gorguze Trust dated March 27, 1998 (the "Trust") beneficially owns 1,131,217 shares of common stock directly. The Trust has warrants to purchase 156,250 shares of common stock, which may be exercised within 60 days of December 31, 2011. ______________________________________________________________________________ EX-99.1 CHARTER 2 gorgvsc13gex99.txt EX 99.1 GORGUZE 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