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PMFG, Inc. – ‘D’ on 9/14/09

On:  Monday, 9/14/09, at 12:41pm ET   ·   Effective:  9/14/09   ·   Accession #:  1209191-9-44093   ·   File #:  21-134397

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 9/14/09  PMFG, Inc.                        D           9/14/09    1:11K                                    RR Donnelley File16/FA

Notice of an Offering of Securities Made Without Registration   —   Form D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: D           Notice of an Offering of Securities Made Without    HTML     12K 
                          Registration -- primary_doc.xml/5.2


        

This ‘D’ Document is an XML Data File that may be rendered in various formats:

  Form D    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Notice of an Exempt Offering of Securities
 
                                                                                                                                                                                
EDGAR Submission
 
Schema Version:  X0502
Submission Type:  D
Test or Live:  LIVE
Primary Issuer:
CIK:  1422862
Entity Name:  PMFG, Inc.
Issuer Address:
Street 1:  14651 North Dallas Parkway
Street 2:  Suite 500
City:  Dallas
State or Country:  TX
ZIP Code:  75254
Issuer Phone Number:  (214) 357-6181
Issuer Previous Name List:
Previous Name:  Peerless Mfg. Co.
Jurisdiction of Inc.:  DELAWARE
Entity Type:  Corporation
Year of Inc.:
Within Five Years?  Yes
Value:  2008
Related-Persons List:
Related-Person Info:
Related-Person Name:
First Name:  Peter
Middle Name:  J.
Last Name:  Burlage
Related-Person Address:
Street 1:  PMFG, Inc.
Street 2:  14651 North Dallas Parkway, Suite 500
City:  Dallas
State or Country:  TX
ZIP Code:  75254
Related-Person Relationship List:
Relationship:  Executive Officer
Relationship:  Director
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Charles
Middle Name:  G.
Last Name:  Mogged
Related-Person Address:
Street 1:  PMFG, Inc.
Street 2:  14651 North Dallas Parkway, Suite 500
City:  Dallas
State or Country:  TX
ZIP Code:  75254
Related-Person Relationship List:
Relationship:  Executive Officer
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Sean
Middle Name:  P.
Last Name:  McMenamin
Related-Person Address:
Street 1:  PMFG, Inc.
Street 2:  14651 North Dallas Parkway, Suite 500
City:  Dallas
State or Country:  TX
ZIP Code:  75254
Related-Person Relationship List:
Relationship:  Executive Officer
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Henry
Middle Name:  G.
Last Name:  Schopfer
Related-Person Address:
Street 1:  PMFG, Inc.
Street 2:  14651 North Dallas Parkway, Suite 500
City:  Dallas
State or Country:  TX
ZIP Code:  75254
Related-Person Relationship List:
Relationship:  Executive Officer
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Jon
Middle Name:  P.
Last Name:  Segelhorst
Related-Person Address:
Street 1:  PMFG, Inc.
Street 2:  14651 North Dallas Parkway, Suite 500
City:  Dallas
State or Country:  TX
ZIP Code:  75254
Related-Person Relationship List:
Relationship:  Executive Officer
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Melissa
Middle Name:  G.
Last Name:  Beare
Related-Person Address:
Street 1:  PMFG, Inc.
Street 2:  14651 North Dallas Parkway, Suite 500
City:  Dallas
State or Country:  TX
ZIP Code:  75254
Related-Person Relationship List:
Relationship:  Executive Officer
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Sherill
Middle Name:
Last Name:  Stone
Related-Person Address:
Street 1:  PMFG, Inc.
Street 2:  14651 North Dallas Parkway, Suite 500
City:  Dallas
State or Country:  TX
ZIP Code:  75254
Related-Person Relationship List:
Relationship:  Director
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Kenneth
Middle Name:  R.
Last Name:  Hanks
Related-Person Address:
Street 1:  PMFG, Inc.
Street 2:  14651 North Dallas Parkway, Suite 500
City:  Dallas
State or Country:  TX
ZIP Code:  75254
Related-Person Relationship List:
Relationship:  Director
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Robert
Middle Name:
Last Name:  McCashin
Related-Person Address:
Street 1:  PMFG, Inc.
Street 2:  14651 North Dallas Parkway, Suite 500
City:  Dallas
State or Country:  TX
ZIP Code:  75254
Related-Person Relationship List:
Relationship:  Director
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  R.
Middle Name:  Clayton
Last Name:  Mulford
Related-Person Address:
Street 1:  PMFG, Inc.
Street 2:  14651 North Dallas Parkway, Suite 500
City:  Dallas
State or Country:  TX
ZIP Code:  75254
Related-Person Relationship List:
Relationship:  Director
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Howard
Middle Name:  G.
Last Name:  Westerman
Related-Person Address:
Street 1:  PMFG, Inc.
Street 2:  14651 North Dallas Parkway, Suite 500
City:  Dallas
State or Country:  TX
ZIP Code:  75254
Related-Person Relationship List:
Relationship:  Director
Relationship Clarification:
Offering Data:
Industry Group:
Industry Group Type:  Manufacturing
Issuer Size:
Revenue Range:  Over $100,000,000
Federal Exemptions Exclusions:
Item:  06
Type of Filing:
New or Amendment:
Is Amendment?  No
Date of First Sale:
Value:  9/4/09
Duration of Offering:
More Than One Year?  No
Types of Securities Offered:
Is Equity Type?  Yes
Is Option to Acquire Type?  Yes
Is Security to Be Acquired Type?  Yes
Business-Combination Transaction:
Is Business-Combination Transaction?  No
Clarification of Response:
Minimum Investment Accepted:  0
Sales Compensation List:
Recipient:
Recipient Name:  Needham & Company, LLC
Recipient CRD Number:  16360
Associated BD Name:  None
Associated BDCRD Number:  None
Recipient Address:
Street 1:  445 Park Avenue
Street 2:  Third Floor
City:  New York
State or Country:  NY
ZIP Code:  10022
States of Solicitation List:
State:  CA
State:  CT
State:  FL
State:  GA
State:  MD
State:  MA
State:  NJ
State:  NY
Offering Sales Amounts:
Total Offering Amount:  21,140,000
Total Amount Sold:  21,140,000
Total Remaining:  0
Clarification of Response:
Investors:
Has Non-Accredited Investors?  No
Total Number Already Invested:  42
Sales Commissions Finders Fees:
Sales Commissions:
Dollar Amount:  1,343,400
Finders Fees:
Dollar Amount:  0
Clarification of Response:
Use of Proceeds:
Gross Proceeds Used:
Dollar Amount:  0
Clarification of Response:
Signature Block:
Authorized Representative?  No
Signature:
Issuer Name:  PMFG, Inc.
Signature Name:  /s/ Melissa G. Beare
Name of Signer:  Melissa G. Beare
Signature Title:  Vice President, General Counsel and Corporate Secretary
Signature Date:  9/14/09


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Filing Submission 0001209191-09-044093   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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