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.
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(Name of Issuer)
Common Stock, $0.01 par value
--------------------------------------------------------------------------------
(Title of Class of Securities)
69345P103
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(CUSIP NUMBER)
December 31, 2011
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(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