Amended Statement of Ownership (sc 13g/a)
February 08 2017 - 12:01PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 8)
Clearfield, Inc.
(Name of Issuer)
Common Stock $0.01
(Title of Class of Securities)
18482P103
(CUSIP Number)
(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
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13G
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Page
2
of
5
Pages
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1
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Names of Reporting Persons
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I.R.S. Identification Nos. of Above Persons (Entities Only)
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Ronald G. Roth
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_________________
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2
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Check the Appropriate Box if a Member of a Group (
See
Instructions)
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☐ (a)
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☐ (b)
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3
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SEC Use Only
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4
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Citizenship or Place of Organization
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Florida, USA
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Number of
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5
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Sole Voting Power
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Shares
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1,208,725
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Beneficially
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6
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Shared Voting Power
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176,760
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Owned by
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7
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Sole Dispositive Power
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Each
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1,208,725
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Reporting
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8
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Shared Dispositive Power
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176,760
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Person
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9
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Aggregate Amount Beneficially Owned by Each Reporting Person
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1,385,485
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10
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares ____
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(
See
Instructions)
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11
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Percent of Class Represented by Amount in Row (9)
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9.8%
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12
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Type of Reporting Person (
See
Instructions)
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IN
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Item 1(a)
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Name of Issuer:
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Clearfield, Inc.
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Item 1(b)
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Address of Issuer's Principal Executive Offices:
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7050 Winnetka Avenue N., Suite 100, Brooklyn
Park, MN 55428
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Item 2(a)
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Name of Person Filing:
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Ronald G. Roth
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Item 2(b)
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Address of Principal Business Office or, if None, Residence:
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7050 Winnetka Avenue N., Suite 100, Brooklyn
Park, MN 55428
Florida, USA
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Item 2(d)
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Title of Class of Securities:
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Common Stock, $0.01 par value
18482P103
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Item 3.
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If this statement is filed
pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
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(a)
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___Broker
or dealer registered under Section 15 of the Exchange Act,
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(b)
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___Bank
as defined in Section 3(a)(6) of the Exchange Act,
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(c)
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___Insurance
company as defined in Section 3(a)(19) of the Exchange Act,
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(d)
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___Investment Company registered under Section 8 of the Investment Company Act, (e) An investment
adviser in accordance with Rule 13d- 1(b)(1)(ii)(E),
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(e)
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___An investment adviser in accordance
with Rule 13d-1(b)(1)(ii)(E),
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(f)
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___An
employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F),
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(g)
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___A
parent holding Company, or control person in accordance with Rule 13d-1(b)(ii)(G),
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(h)
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___A
savings association as defined in Section 3(b) of the Federal Deposit Insurance Act,
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(i)
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___A church plan that is excluded from the definition of an investment company under Section 3(c)(14)
of the Investment Company Act,
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(j)
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___Group,
in accordance with Rule 13d-1(b)(ii)(J).
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If this statement is filed pursuant
to Rule 13d-1(c), check this box.
X
Provide the following information regarding the aggregate number
and percentage of the class of securities of the issued identified in Item 1.
(a)
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Amount Beneficially Owned: 1,385,485 which consists of 1,208,725 shares owned individually
by the reporting person as of December 31, 2016, no options to purchase shares at December 31, 2016 or within 60 days and 176,760
shares owned by spouse.
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(b)
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Percent of Class: 9.8% based on 14,145,164 shares of the Issuer’s common stock
outstanding on December 31, 2016 as reported in the Issuer’s Form 10-Q for the quarter ended December 31, 2016 and including
all 1,385,485 shares that could be deemed to be beneficially owned by Mr. Roth.
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(c)
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Number of shares as to which such person has:
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(i) Sole power to vote or to direct
the vote: 1,208,725
(ii) Shared power to vote or direct
the vote: 176,760
(iii) Sole power to dispose or direct
the disposition of: 1,208,725
(iv) Shared power to dispose or to
direct the disposition of: 176,760
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Item 5.
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Ownership of Five Percent
or Less of a Class
.
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Not applicable.
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Item 6.
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Ownership of More Than Five Percent on Behalf of Another
Person.
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Not applicable.
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Item 7.
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Identification and Classification of the Subsidiary
Which Acquired the Security Being Reported on By the Parent Holding Company
.
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Not applicable.
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Item 8.
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Identification and Classification of Members of the Group
.
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Not applicable.
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Item 9.
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Notice of Dissolution of Group
.
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Not applicable.
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.
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February 8, 2017
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(Date)
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/s/ Ronald G. Roth
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(Signature)
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Ronald G. Roth
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(Name and Title)
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