SD 1 d738009dsd.htm FORM SD FORM SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

Specialized Disclosure Report

 

 

PMFG, INC.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-34156   51-0661574

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

 

14651 North Dallas Parkway, Suite 500

Dallas, Texas

  75254
(Address of principal executive offices)   (Zip Code)

Ronald L. McCrummen

(214) 357-6181

(Name and telephone number, including area code, of the person to contact in connection with this report)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

x Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2013.

 

 

 


Section 1. Conflict Minerals Disclosure

 

Item 1.01. Conflict Minerals Disclosure and Report.

Conflict Minerals Disclosure

PMFG, Inc. (the “Company,” “we,” “us” or “our”) is filing this Form SD pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 for the reporting period January 1, 2013 to December 31, 2013 (the “Reporting Period”).

Rule 13p-1, through Form SD, requires the disclosure of certain information if a company manufactures or contracts to manufacture products for which certain “conflict minerals” (as defined below) are necessary to the functionality or production of such products. Form SD defines “conflict minerals” as: (i)(a) columbite-tantalite (or coltan, the metal ore from which tantalum is extracted), (b) cassiterite (the metal ore from which tin is extracted), (c) gold and (d) wolframite (the metal ore from which tungsten is extracted), or their derivatives; or (ii) any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the Democratic Republic of the Congo or an adjoining country (collectively, the “Covered Countries”). Our operations, including the operations of our consolidated subsidiaries, may at times manufacture, or contract to manufacture, products for which conflict minerals are necessary to the functionality or production of those products (collectively, our “products”).

As required by Form SD, we have conducted a good faith reasonable country of origin inquiry (“RCOI”) regarding the conflict minerals included in our products during the Reporting Period to determine whether any of such conflict minerals, which we refer to as the “Subject Minerals,” originated in the Covered Countries and/or whether any of the Subject Minerals may be from recycled or scrap sources. Where applicable, we have conducted additional due diligence regarding the sources of the Subject Minerals. The results of our RCOI regarding the Subject Minerals, as well as our additional due diligence regarding the sources of such Subject Minerals, are contained in our Conflict Minerals Report, a copy of which is filed as Exhibit 1.02 to this Form SD, and is publicly available on our website under the Investors tab at www.pmfginc.com. The content on any website referred to in this Form SD is not incorporated by reference into this Form SD unless expressly noted.

 

Item 1.02. Exhibit.

As specified in Section 2 of Form SD, we are hereby filing our Conflict Minerals Report as Exhibit 1.02 to this Form SD.

Section 2. Exhibits

 

Item 2.01. Exhibits.

The following exhibit is filed as part of this Form SD.

 

Exhibit
No.

  

Description

1.02    Conflict Minerals Report of PMFG, Inc.


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

PMFG, Inc.
By:  

/s/ Ronald L. McCrummen

   

June 2, 2014

  Ronald L. McCrummen     (Date)
  Executive Vice President and Chief Financial Officer    


EXHIBIT INDEX

 

Exhibit
No.

  

Description

1.02    Conflict Minerals Report of PMFG, Inc.