Amended Statement of Beneficial Ownership (sc 13d/a)
August 02 2017 - 4:15PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
_____________
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT TO RULE 13d-1(a) AND
AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)
Under the Securities Exchange Act of
1934
(Amendment No. 1)*
Perma-Fix
Environmental Services, Inc.
(Name of Issuer)
Common Stock, $0.001 Par Value Per Share
(Title of Class of
Securities)
714157203
(CUSIP Number)
|
Justyn R. Putnam
Managing Member
TALANTA Investment Group, LLC
401 N. Tryon Street, 10th Floor
Charlotte, NC 28202
(704) 904-1450
|
|
with a copy to
Derek D. Bork
Thompson Hine LLP
3900 Key Center
127 Public Square
Cleveland, Ohio 44114
(216) 566-5500
(Name, Address and Telephone Number of
Person Authorized
to Receive Notices and Communications)
July 25, 2017
(Date of Event Which Requires Filing of
This Statement)
If the filing
person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and
is filing this schedule because of Rule 13d-1(e), 13d-1(f), or 13d-1(g), check the following box
¨
Note: Schedules filed in paper format shall
include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom
copies are to be sent.
__________________
*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 disclosures provided in a prior cover page.
The information required on 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. 714157203
|
13D
|
Page
2
|
1
|
NAMES OF REPORTING PERSONS
TALANTA INVESTMENT GROUP, LLC
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
¨
(b)
¨
|
3
|
SEC USE ONLY
|
4
|
SOURCE OF FUNDS
OO; AF
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT
TO ITEMS 2(d) OR 2(e)
¨
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
STATE OF DELAWARE, UNITED STATES OF AMERICA
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
0
|
8
|
SHARED VOTING POWER
772,356
|
9
|
SOLE DISPOSITIVE POWER
0
|
10
|
SHARED DISPOSITIVE POWER
772,356
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
772,356
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES
¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.6%
|
14
|
TYPE OF REPORTING PERSON
OO
|
CUSIP NO. 714157203
|
13D
|
Page
3
|
1
|
NAMES OF REPORTING PERSONS
TALANTA FUND, L.P.
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
¨
(b)
¨
|
3
|
SEC USE ONLY
|
4
|
SOURCE OF FUNDS
WC
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT
TO ITEMS 2(d) OR 2(e)
¨
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
STATE OF DELAWARE, UNITED STATES OF AMERICA
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
0
|
8
|
SHARED VOTING POWER
772,356
|
9
|
SOLE DISPOSITIVE POWER
0
|
10
|
SHARED DISPOSITIVE POWER
772,356
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
772,356
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES
¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.6%
|
14
|
TYPE OF REPORTING PERSON
PN
|
CUSIP NO. 714157203
|
13D
|
Page
4
|
1
|
NAMES OF REPORTING PERSONS
JUSTYN R. PUTNAM
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
¨
(b)
¨
|
3
|
SEC USE ONLY
|
4
|
SOURCE OF FUNDS
OO; AF
|
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT
TO ITEMS 2(d) OR 2(e)
¨
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
STATE OF DELAWARE, UNITED STATES OF AMERICA
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
7
|
SOLE VOTING POWER
|
8
|
SHARED VOTING POWER
772,356
|
9
|
SOLE DISPOSITIVE POWER
0
|
10
|
SHARED DISPOSITIVE POWER
772,356
|
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
772,356
|
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES
¨
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.6%
|
14
|
TYPE OF REPORTING PERSON
IN
|
CUSIP NO. 714157203
|
13D
|
Page
5
|
This Amendment No.
1 to Statement of Beneficial Ownership on Schedule 13D (this “Amendment No. 1”) amends the Statement of Beneficial
Ownership on Schedule 13D filed by the Reporting Persons on March 27, 2017 (as amended, the “Schedule 13D” or this
“Statement”), with respect to the Common Stock, par value $0.001 per share (the “Common Stock”), of Perma-Fix
Environmental Services, Inc., a Delaware corporation (the “Company”). Except as amended and supplemented by this Amendment
No. 1, the Schedule 13D remains unchanged.
Item 3. Source and Amount of Funds or
Other Consideration.
The total cost for
purchasing the Common Stock reported as owned by the Reporting Persons, including brokerage commissions, was approximately $2,758,272.
The source of these funds was working capital of the Fund.
Item 5. Interest in Securities of the
Issuer.
(a)
The
Reporting Persons beneficially own in the aggregate 772,356 shares of Common Stock, which represents approximately 6.6% of the
Company’s outstanding shares of Common Stock.
The Fund directly holds
the number and percentage of shares of Common Stock disclosed as beneficially owned by it in the applicable table set forth on
the cover page to this Statement. None of the other Reporting Persons directly hold any of the shares of Common Stock disclosed
in this Statement.
Each percentage ownership
of shares of Common Stock set forth in this Statement is based on the 11,698,347 shares of Common Stock reported by the Company
as outstanding as of May 4, 2017 in its Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on May
10, 2017.
The GP, as general
partner of the Fund, and Mr. Putnam, as managing member of the GP, may be deemed to have indirect beneficial ownership of the shares
of Common Stock beneficially owned by the Fund. The GP and Mr. Putnam disclaim beneficial ownership of such shares for all other
purposes.
(c) The
transactions effected by the Reporting Persons in the Common Stock during the past 60 days are set forth on Schedule A to this
Statement. Each of these transactions was effected through the open market.
Item 6. Contracts, Arrangements,
Understandings or Relationships With Respect to Securities of the Issuer.
Pursuant to Rule 13d-1(k)
promulgated under the Securities Exchange Act of 1934, as amended, the Reporting Persons have entered into an agreement with respect
to the joint filing of this Amendment No. 1, which agreement is set forth on the signature page to this Statement.
CUSIP NO. 714157203
|
13D
|
Page
6
|
Signature
After reasonable inquiry
and to the best of each of the undersigned’s knowledge and belief, each of the undersigned certifies that the information
set forth in this Statement is true, complete and correct.
In accordance with
Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing
on behalf of each of them of this Statement on Schedule 13D with respect to the Common Stock of the Company.
|
Dated: August 2, 2017
|
|
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TALANTA INVESTMENT GROUP, LLC
|
|
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By:
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/s/ Justyn R. Putnam
|
|
Name:
|
Justyn R. Putnam
|
|
Title:
|
Managing Member
|
|
|
|
|
TALANTA FUND, L.P.
|
|
|
|
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By:
|
TALANTA Investment Group, LLC,
|
|
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its General Partner
|
|
By:
|
/s/ Justyn R. Putnam
|
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Name:
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Justyn R. Putnam
|
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Title:
|
Managing Member
|
|
|
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/s/ Justyn R. Putnam
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JUSTYN R. PUTNAM
|
Schedule A
Transactions by the Fund in the Common
Stock in the past 60 days:
Transaction
Date
|
Number of
Shares
Bought/(Sold
)
|
Price Per
Share ($)
|
7/31/2017
|
547
|
3.63
|
7/27/2017
|
3,311
|
3.56
|
7/26/2017
|
1,032
|
3.51
|
7/25/2017
|
32,175
|
3.48
|
7/21/2017
|
2,825
|
3.49
|
7/19/2017
|
22,408
|
3.51
|
7/17/2017
|
6,792
|
3.61
|
7/12/2017
|
3,252
|
3.45
|
7/11/2017
|
1,398
|
3.41
|
7/7/2017
|
2
|
3.90
|
7/5/2017
|
8,600
|
3.41
|
6/9/2017
|
10,000
|
3.50
|
5/30/2017
|
389
|
3.46
|
5/25/2017
|
4,611
|
3.46
|
5/24/2017
|
25,000
|
3.57
|
5/18/2017
|
10,000
|
3.49
|
5/15/2017
|
20,000
|
3.46
|
5/10/2017
|
2,000
|
3.53
|
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