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MIND TECHNOLOGY, INC — Major Shareholding Notification 2009
Feb 12, 2009
34449_mrq_2009-02-12_514027a1-b25b-4110-a593-124f8c5af045.zip
Major Shareholding Notification
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SC 13G 1 a09-5382_4sc13g.htm SC 13G
| UNITED
STATES |
| --- |
| SECURITIES
AND EXCHANGE COMMISSION |
| Washington,
D.C. 20549 |
*SCHEDULE 13G*
*Under the Securities Exchange Act of 1934 (Amendment No. )**
*Mitcham Industries Inc.*
(Name of Issuer)
*Common Stock*
(Title of Class of Securities)
*606501104*
(CUSIP Number)
*December 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:
| x | Rule 13d-1(b) |
|---|---|
| o | Rule 13d-1(c) |
| o | Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a reporting persons 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).
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| CUSIP No. 606501104 — 1. | Names of Reporting Persons Pacific Global Investment Management Company 95-4351611 | |
|---|---|---|
| 2. | Check the Appropriate Box | |
| if a Member of a Group (See Instructions) | ||
| (a) | o | |
| (b) | o | |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of | |
| Organization California Corporation | ||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 852,810 |
| 6. | Shared Voting Power 0 | |
| 7. | Sole Dispositive Power 852,810 | |
| 8. | Shared Dispositive Power 0 | |
| 9. | Aggregate Amount | |
| Beneficially Owned by Each Reporting Person 852,810 Beneficial ownership disclaimed pursuant to Rule 13d-4 under the | ||
| Securities Exchange Act of 1934. | ||
| 10. | Check if the Aggregate | |
| Amount in Row (9) Excludes Certain Shares (See Instructions) o | ||
| 11. | Percent of Class | |
| Represented by Amount in Row (9) 8.70% | ||
| 12. | Type of Reporting Person | |
| (See Instructions) IA |
2
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| CUSIP No. 606501104 — 1. | Names of Reporting Persons George A. Henning | |
|---|---|---|
| 2. | Check the Appropriate Box | |
| if a Member of a Group (See Instructions) | ||
| (a) | o | |
| (b) | o | |
| 3. | SEC Use Only | |
| 4. | Citizenship or Place of | |
| Organization U.S.A. | ||
| Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power (See Item 4) |
| 6. | Shared Voting Power (See Item 4) | |
| 7. | Sole Dispositive Power (See Item 4) | |
| 8. | Shared Dispositive Power (See Item 4) | |
| 9. | Aggregate Amount | |
| Beneficially Owned by Each Reporting Person 852,810 Beneficial ownership disclaimed pursuant to Rule 13d-4 under the | ||
| Securities Exchange Act of 1934. | ||
| 10. | Check if the Aggregate | |
| Amount in Row (9) Excludes Certain Shares (See Instructions) o | ||
| 11. | Percent of Class | |
| Represented by Amount in Row (9) 8.70% | ||
| 12. | Type of Reporting Person | |
| (See Instructions) HC, IN |
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| Item 1. | (a) | Name of Issuer Mitcham Industries Inc. | |
|---|---|---|---|
| (b) | Address of Issuers | ||
| Principal Executive Offices 8141 Highway 75 South, Huntsville, TX 77340 | |||
| Item 2. | |||
| (a) | Name of Person Filing (1) Pacific Global Investment Management Company (PGIMC) (2) George A. Henning | ||
| (b) | Address of Principal | ||
| Business Office or, if none, Residence (1) and (2): 101 N Brand Blvd, Suite | |||
| 1950, Glendale, CA 91203 | |||
| (c) | Citizenship (1) California Corporation (2) U.S.A. | ||
| (d) | Title of Class of | ||
| Securities Common Stock | |||
| (e) | CUSIP Number 606501104 | ||
| Item 3. | If this statement is filed pursuant | ||
| to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is | |||
| a: | |||
| (a) | o | Broker or dealer | |
| registered under section 15 of the Act (15 U.S.C. 78o); | |||
| (b) | o | Bank as defined in section | |
| 3(a)(6) of the Act (15 U.S.C. 78c); | |||
| (c) | o | Insurance company as | |
| defined in section 3(a)(19) of the Act (15 U.S.C. 78c); | |||
| (d) | o | Investment company | |
| registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. | |||
| 80a-8); | |||
| (e) | x | An investment adviser in | |
| accordance with §240.13d-1(b)(1)(ii)(E); | |||
| (f) | o | An employee benefit plan | |
| or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); | |||
| (g) | x | A parent holding company | |
| or control person in accordance with §240.13d-1(b)(1)(ii)(G); | |||
| (h) | o | A savings association as | |
| defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | |||
| (i) | o | A church plan that is | |
| excluded from the definition of an investment company under section 3(c)(14) | |||
| of the Investment Company Act of 1940 (15 U.S.C. 80a-3); | |||
| (j) | o | A non-U.S. institution in | |
| accordance with § 240.13d1(b)(1)(ii)(J); | |||
| (k) | o | Group, in accordance with | |
| § 240.13d1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance | |||
| with § 240.13d1(b)(1)(ii)(J), please specify the type of | |||
| institution:____ |
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| Item 4. | Ownership | ||
|---|---|---|---|
| Provide the following | |||
| information regarding the aggregate number and percentage of the class of | |||
| securities of the issuer identified in Item 1. | |||
| (a) | Amount beneficially | ||
| owned: | |||
| (b) | Percent of class: | ||
| (c) | Number of shares as to | ||
| which the person has: | |||
| (i) | Sole power to vote or to | ||
| direct the vote | |||
| (ii) | Shared power to vote or to | ||
| direct the vote | |||
| (iii) | Sole power to dispose or | ||
| to direct the disposition of | |||
| (iv) | Shared power to dispose or | ||
| to direct the disposition of | |||
| See Items 5 11 on cover pages 2 3 of this | |||
| Schedule 13G. 852,810 shares or 8.70% of Common Stock believed to | |||
| be outstanding may be deemed beneficially owned within the meaning of Rule | |||
| 13d-3 of the Securities Exchange Act of 1934 by (1) PGIMC by virtue of its | |||
| investment discretion and voting authority granted by certain clients, which | |||
| may be revoked at any time; and (2) George A. Henning, as a result of his | |||
| ownership interest in PGIMC. PGIMC and | |||
| Mr. Henning each specifically disclaim beneficial ownership of any shares | |||
| reported on the Schedule. | |||
| 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 five percent of the class of securities, check | |||
| the following o . Not Applicable. | |||
| Item 6. | Ownership of More than Five Percent | ||
| on Behalf of Another Person | |||
| (1) | One or more clients of PGIMC have the right to receive | ||
| and the power to direct the receipt of dividends from, or the proceeds from | |||
| the sale of common stock of Mitcham Industries Inc. To the best of PGIMCs | |||
| knowledge, no individual client account has interest of more than five | |||
| percent of the outstanding stock. | |||
| Item 7. | Identification and Classification | ||
| of the Subsidiary Which Acquired the Security Being Reported on By the Parent | |||
| Holding Company or Control Person | |||
| Not Applicable. | |||
| Item 8. | Identification and Classification | ||
| of Members of the Group | |||
| Not Applicable. | |||
| Item 9. | Notice of Dissolution of Group | ||
| Not Applicable. |
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| Item 10. | Certification |
|---|---|
| (a) | By signing below I certify |
| that, to the best of my knowledge and belief, the securities referred to | |
| above were acquired and are 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. This report shall not be | |
| construed as an admission by the persons filing the report that they are the | |
| beneficial owner of any securities covered by this report. |
*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.
| Pacific Global Investment Management Company | |
|---|---|
| By: | /s/ George A. Henning |
| George A. Henning | |
| President | |
| February 12, 2009 | |
| George A. Henning | |
| /s/ George A. Henning | |
| George A. Henning | |
| February 12, 2009 |
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