0001130381-13-000004.txt : 20130219
0001130381-13-000004.hdr.sgml : 20130219
20130214213540
ACCESSION NUMBER: 0001130381-13-000004
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20130215
DATE AS OF CHANGE: 20130214
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: MFRI INC
CENTRAL INDEX KEY: 0000914122
STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL & COMMERCIAL FANS & BLOWERS & AIR PURIFYING EQUIP [3564]
IRS NUMBER: 363922969
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0131
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-43197
FILM NUMBER: 13617339
BUSINESS ADDRESS:
STREET 1: 7720 LEHIGH AVE
CITY: NILES
STATE: IL
ZIP: 60714
BUSINESS PHONE: 8479661000
MAIL ADDRESS:
STREET 1: 7720 LEHIGH AVE
CITY: NILES
STATE: IL
ZIP: 60714
FORMER COMPANY:
FORMER CONFORMED NAME: MIDWESCO FILTER RESOURCES INC
DATE OF NAME CHANGE: 19970402
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: WEDBUSH, Inc.
CENTRAL INDEX KEY: 0001130381
IRS NUMBER: 953565499
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: 1000 WILSHIRE BLVD
CITY: LOS ANGELES
STATE: CA
ZIP: 90017
BUSINESS PHONE: 2136888080
MAIL ADDRESS:
STREET 1: 1000 WILSHIRE BLVD
CITY: LOS ANGELES
STATE: CA
ZIP: 90017
FORMER COMPANY:
FORMER CONFORMED NAME: E CAPITAL CORP
DATE OF NAME CHANGE: 20001221
SC 13G/A
1
mfri2013.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE13G/A
Under the Securities Exchange Act of 1934
(Amendment No__11__)*
MFRI, INC.
---------------------------------------------------------------------
(Name of Issuer)
Common
---------------------------------------------------------------------
(Title of Class of Securities)
552721102
-----------------
(CUSIP Number)
December 31, 2012
---------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
/x/ 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 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).
Potential persons who are to respond to the collection of
information contained in this form are not required to respond
unless the form displays a currently valid OMB control number.
SEC 1745 (3-98)
Page 1 of 8
CUSIP No. 552721102
--------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
WEDBUSH, Inc.
---------------------------------------------------------------------
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
California
---------------------------------------------------------------------
Number of Shares 5. Sole Voting Power 207,127
Beneficially by ----------------------------------------------
Owned by Each 6. Shared Voting Power 232,578
Reporting ----------------------------------------------
Person With: 7. Sole Dispositive Power 207,127
----------------------------------------------
8.Shared Dispositive Power 260,052
---------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
260,052
---------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
/ /
---------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
3.8%
---------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
---------------------------------------------------------------------
CO
Page 2 of 8
CUSIP No. 552721102
--------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Edward W. Wedbush
---------------------------------------------------------------------
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
United States of America
---------------------------------------------------------------------
Number of Shares 5. Sole Voting Power 366,121
Beneficially by ----------------------------------------------
Owned by Each 6. Shared Voting Power 384,569
Reporting ----------------------------------------------
Person With: 7. Sole Dispositive Power 366,121
----------------------------------------------
8.Shared Dispositive Power 419,046
---------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
419,046
---------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
/ /
---------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
6.1%
---------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
---------------------------------------------------------------------
IN
Page 3 of 8
CUSIP No. 552721102
--------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
Wedbush Securities, Inc.
---------------------------------------------------------------------
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
California
---------------------------------------------------------------------
Number of Shares 5. Sole Voting Power 25,451
Beneficially by ----------------------------------------------
Owned by Each 6. Shared Voting Power 25,451
Reporting ----------------------------------------------
Person With: 7. Sole Dispositive Power 25,451
----------------------------------------------
8.Shared Dispositive Power 52,925
---------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
52,925
---------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
/ /
---------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
0.8%
---------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
---------------------------------------------------------------------
BD
Page 4 of 8
Cusip No. 552721102 13G MFRI, INC.
---------------------------------------------------------------------
Item 1. Name and Address of Issuer.
(a) This statement relates to the shares of the common stock of
MFRI, INC. ("Issuer").
(b) Issuer's address: 7720 Lehigh Avenue,
Niles, Illinois 60714
Item 2. Filers
(a) This statement is filed by WEDBUSH, Inc. ("WI"),
Edward W. Wedbush ("EWW"), and Wedbush Securities,
Inc. ("WS").
(b) Business address of the above filers are as follows:
WI - 1000 Wilshire Blvd., Los Angeles, CA 90017-2457
EWW - P.O. Box 30014, Los Angeles, CA 90030-0014
WS - P.O. Box 30014, Los Angeles, CA 90030-0014
(c) WI is a California corporation. EWW is a citizen of the
United States of America. WS is a California corporation.
(d) Common stock
(e) 552721102
Item 3. Classification of Filers
(a) WI is a control person
(b) - (j) Not applicable
(g) WS is a broker/dealer
(b) - (j) Not applicable
(b) - (j) Not applicable
Page 5 of 8
Item 4. Ownership
(a) WI has sole ownership of 207,127 Shares of the Issuer,
EWW has sole ownership of 366,121 Shares and WS has sole
ownership of 25,451.
(b) Of the Shares outstanding, WI owns approximately 2.99%,
EWW owns approximately 5.29% and WS owns 0.37%.
(c) Number of Shares as to which the filer has:
(i) Sole power to vote: WI has sole power to vote on
207,127 Shares, EWW has 366,121 Shares, and WS
has 25,451 Shares.
(ii) Shared power to vote: WI has 232,578 Shares,
EWW has 384,569 Shares, and WS has 25,451 Shares.
(iii) Sole power to dispose: WI has sole power to dispose
on 207,127 Shares, EWW has 366,121 Shares, and
WS has 25,451 Shares.
(iv) Shared power to dispose: WI has 260,052 Shares,
EWW has 419,046 Shares, and WS has 52,925 Shares.
Item 5. Ownership of Five Percent or Less of a Class.
Not applicable.
Item 6. Ownership of More Than Five Percent on Behalf of Another.
Not applicable.
Item 7. Identification and Classification of Subsidiary which
Acquired the Securities Being Reported on by the Parent
Holding Company.
Not Applicable.
Page 6 of 8
Item 8. Identification and Classification of Members of a Group.
Name Category No.ofShares Percentage
WEDBUSH, Inc. CO 207,127 2.99%
Edward W. Wedbush IN 366,121 5.29%
Wedbush Securities BD 24,517 0.37%
Edward W. Wedbush owns approximately 50% of the issued and
outstanding shares of WEDBUSH, Inc., which is the sole shareholder
of Wedbush Securities Inc. Mr. Wedbush is also the Chairman of the
Board of WEDBUSH, Inc. and the President of Wedbush Securities Inc.
The foregoing should not be construed as an admission of beneficial
ownership of the securities held or controlled
by WEDBUSH, Inc. or Wedbush Securities Inc.
Item 9. Notice of Dissolution of Group.
Not applicable.
Page 7 of 8
Item 10. Certification
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired in the
ordinary course of business and were not acquired for the purpose
of and do not have the effect of changing or influencing the
control of the Issuer of such securities and were not acquired in
connection with or as a participant in any transaction having
such purpose or 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.
WEDBUSH, Inc.
02/08/13
---------------------------
Date
ERIC D. WEDBUSH
------------------
Eric D. Wedbush
---------------------------
Signature
ERIC D. WEDBUSH
------------------
Eric D. Wedbush/ President
---------------------------
Name/Title
Edward W. Wedbush
02/08/13
---------------------------
Date
EDWARD W. WEDBUSH
------------------
Edward W. Wedbush
---------------------------
Signature
EDWARD W. WEDBUSH
------------------
Edward W. Wedbush
---------------------------
Name/Title
Wedbush Securities, Inc.
02/08/13
---------------------------
Date
EDWARD W. WEDBUSH
------------------
Edward W. Wedbush
---------------------------
Signature
Edward W. Wedbush/ President
---------------------------
Name/Title
Page 8 of 8