-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RKo2nca00j6evBzmKyPEdmEU6X0GztqbIROQvCpXkDIj4vikbEBM+wc2kXlfEq6V XnnYBI9RSyR5b6lfrHGE6Q== 0001157523-08-004558.txt : 20080523 0001157523-08-004558.hdr.sgml : 20080523 20080523115000 ACCESSION NUMBER: 0001157523-08-004558 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080523 DATE AS OF CHANGE: 20080523 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Clearfield, Inc. CENTRAL INDEX KEY: 0000796505 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 411347235 STATE OF INCORPORATION: MN FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-39957 FILM NUMBER: 08856984 BUSINESS ADDRESS: STREET 1: 5480 NATHAN LANE NORTH STREET 2: SUITE 120 CITY: PLYMOUTH STATE: MN ZIP: 55442 BUSINESS PHONE: 763-476-6866 MAIL ADDRESS: STREET 1: 5480 NATHAN LANE NORTH STREET 2: SUITE 120 CITY: PLYMOUTH STATE: MN ZIP: 55442 FORMER COMPANY: FORMER CONFORMED NAME: APA Enterprises, Inc. DATE OF NAME CHANGE: 20041116 FORMER COMPANY: FORMER CONFORMED NAME: APA OPTICS INC /MN/ DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROTH RONALD G CENTRAL INDEX KEY: 0001257956 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: BUSINESS PHONE: 7637844995 MAIL ADDRESS: STREET 1: 2950 84TH LANE NE CITY: BLAINE STATE: MN ZIP: 55449 SC 13G 1 a5693474.txt CLEARFIELD, INC. SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Clearfield, Inc. [CLFD] (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 18482P103 (CUSIP Number) March 31, 2008 (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). CUSIP No. 18482P103 1. Names of Reporting Person I.R.S. Identification Nos. of above person Ronald G. Roth 2. Check the Appropriate Box if a Member Of a Group [ ] (a) [ ] (b) 3. SEC Use Only 4. Citizenship or Place of Organization Minnesota, United States 5. Sole Voting Power: 559,938 6. Shared Voting Power: 156,760 Number of Shares Beneficially Owned by 7. Sole Dispositive Power: 559,938 Each Reporting Person With 8. Shared Dispositive Power: 156,760 9. Aggregate Amount Beneficially Owned by Each Reporting Person 716,698 * 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares 11. Percent of Class Represented by Amount in Row (9) 6.04% 12. Type of Reporting Person IN * 515,813 Shares owned outright 30,625 Shares owned in IRA 27,500 Shares subject to currently exercisable options 156,760 Shares owned by wife Margaret as to which Mr. Roth shares voting power and dispositive power. Item 1. (a) Issuer: Clearfield, Inc. (b) Address: 5480 Nathan Lane North, Suite 120 Plymouth, MN 55442 Item 2. (a) Name of Person Filing: Ronald G. Roth (b) Address of Principal Business Offices: 5480 Nathan Lane North, Suite 120 Plymouth, MN 55442 (c) Citizenship: USA (d) Title of Class of Securities Common stock (e) CUSIP Number: 18482P103 Item 3. Not Applicable Item 4. Ownership (a) Amount beneficially owned: 716,698 * (b) Percent of class: 6.04% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 559,938 (ii) Shared power to vote or to direct the vote: 156,760 (iii) Sole power to dispose or to direct the disposition of: 559,938 (iv) Shared power to dispose or to disrect the disposition of: 156,760 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 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 acquired and held in the ordinary course of business and 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 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. Date: May 23, 2008 /s/ Ronald G. Roth -------------------------- -----END PRIVACY-ENHANCED MESSAGE-----