Sec Form 13G Filing - EXFO INC. filing for EXFO ELECTRO-OPTICAL ENGINEER (EXFO) - 2021-01-21

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 15)*
EXFO Inc. /
EXFO inc.
(Name of Issuer)

Subordinate Voting Shares, no par value
Multiple Voting Shares
(Title of Class of Securities)
302043 10 4
(CUSIP Number)
December 31, 2020
(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)     __
 Rule 13d-1(c)     __
 Rule 13d-1(d)    X
*
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.




Page 1 of 8


CUSIP NO.  302043 10 4 13G

 
1.
 
Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person (entities only)
 
  
 
Germain Lamonde (personally and through G. Lamonde Investissements Financiers Inc. and 9356-8988 Québec Inc.)
 

2.
Check the Appropriate Box if a Member of a Group
  
(a) __
(b)  X 
 

3.
S.E.C. Use Only
 
    

4.
Citizenship or Place of Organization
 
  
Canada

Number of Shares Beneficially Owned by Each Reporting Person with:
(5) Sole Voting Power
31,643,000 Multiple Voting Shares
3,672,474 Subordinate Voting Shares
(6) Shared Voting Power
Nil
(7) Sole Dispositive Power
31,643,000 Multiple Voting Shares
3,672,474 Subordinate Voting Shares
(8) Shared Dispositive Power
Nil
     

9.
Aggregate Amount Beneficially Owned by Each Reporting Person
 
Multiple Voting Shares
  
31,643,000
 
Subordinate Voting Shares
 
  
  3,672,474

10.
Check if the Aggregate Amount in Row (9) Excludes Certain
 
Shares     _____
 

11.
Percent of Class Represented by Amount in Row 9
         
   
% Class
% Total
%Vote
31,643,000
  Multiple Voting Shares
100.00
55.20
92.49
3,672,474
  Subordinate Voting Shares
14.30
6.41
1.07

12.
Type of Reporting Person
  
IN


Page 2 of 8


CUSIP NO.  302043 10 4 13G

 
1.
 
Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person (entities only)
 
  
 
G. Lamonde Investissements Financiers Inc.

2.
Check the Appropriate Box if a Member of a Group
  
(a) __
(b)  X 
 

3.
S.E.C. Use Only
 
    

4.
Citizenship or Place of Organization
 
  
Quebec, Canada

Number of Shares Beneficially Owned by Each Reporting Person with:
(5) Sole Voting Power
29,743,000 Multiple Voting Shares
3,191,666 Subordinate Voting Shares
(6) Shared Voting Power
Nil
(7) Sole Dispositive Power
29,743,000 Multiple Voting Shares
3,191,666 Subordinate Voting Shares
(8) Shared Dispositive Power
Nil
     

9.
Aggregate Amount Beneficially Owned by Each Reporting Person
 
Multiple Voting Shares
  
29,743,000
 
Subordinate Voting Shares
 
  
  3,191,666

10.
Check if the Aggregate Amount in Row (9) Excludes Certain
 
Shares     _____
 

11.
Percent of Class Represented by Amount in Row 9
         
   
% Class
% Total
%Vote
29,743,000
3,191,666
  G. Lamonde Investissements Financiers Inc.
  G. Lamonde Investissements Financiers Inc.
94.00
12.43
51.88
5.57
86.94
0.93

12.
Type of Reporting Person
  
CO


Page 3 of 8


CUSIP NO.  302043 10 4 13G

 
1.
 
Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person (entities only)
 
  
 
9356-8988 Québec Inc.

2.
Check the Appropriate Box if a Member of a Group
  
(a) __
(b)  X 
 

3.
S.E.C. Use Only
 
    

4.
Citizenship or Place of Organization
 
  
Quebec, Canada

Number of Shares Beneficially Owned by Each Reporting Person with:
(5) Sole Voting Power
1,900,000 Multiple Voting Shares
316,247 Subordinate Voting Shares
(6) Shared Voting Power
Nil
(7) Sole Dispositive Power
1,900,000 Multiple Voting Shares
316,247 Subordinate Voting Shares
(8) Shared Dispositive Power
Nil
     

9.
Aggregate Amount Beneficially Owned by Each Reporting Person
 
Multiple Voting Shares
  
1,900,000
 
Subordinate Voting Shares
 
  
   316,247

10.
Check if the Aggregate Amount in Row (9) Excludes Certain
 
Shares     _____
 

11.
Percent of Class Represented by Amount in Row 9
         
   
% Class
% Total
%Vote
1,900,000
316,247
  9356-8988 Québec Inc.
  9356-8988 Québec Inc.
 
6.00
1.23
3.31
0.55
5.55
0.09

12.
Type of Reporting Person
  
CO


Page 4 of 8


CUSIP NO.  302043 10 4 13G

 
1.
 
Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person (entities only)
 
  
 
Germain Lamonde

2.
Check the Appropriate Box if a Member of a Group
  
(a) __
(b)  X 
 

3.
S.E.C. Use Only
 
    

4.
Citizenship or Place of Organization
 
  
Quebec, Canada

Number of Shares Beneficially Owned by Each Reporting Person with:
(5) Sole Voting Power
164,561 Subordinate Voting Shares
(6) Shared Voting Power
Nil
(7) Sole Dispositive Power
164,561 Subordinate Voting Shares
(8) Shared Dispositive Power
Nil
     

9.
Aggregate Amount Beneficially Owned by Each Reporting Person
 
Multiple Voting Shares
  
          Ø
 
Subordinate Voting Shares
 
  
164,561

10.
Check if the Aggregate Amount in Row (9) Excludes Certain
 
Shares     _____
 

11.
Percent of Class Represented by Amount in Row 9
         
   
% Class
% Total
%Vote
164,561
  Germain Lamonde
 
0.64
0.29
0.05

12.
Type of Reporting Person
  
IN


Page 5 of 8


ITEM 1(a).
NAME OF ISSUER
 
The name of the issuer is EXFO Inc./EXFO inc. (“EXFO”).
 
 
ITEM 1(b).
ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES
 
EXFO’s principal executive offices are located at 400 Godin Avenue, Quebec, Quebec G1M 2K2, Canada.
 
 
ITEM 2(a).
NAME OF PERSON FILING
 
This Schedule 13G is being filed on behalf of the following persons (the "Reporting Persons"):
 
(i)    Germain Lamonde ("Mr. Lamonde");
(ii)   G. Lamonde Investissements Financiers Inc. (“GLIF”) and
(iii)  9356-8988 Québec Inc.;
 
 
ITEM 2(b).
ADDRESS OF PRINCIPAL BUSINESS OFFICE:
 
Germain Lamonde: 3044 Henri-Bernatchez, St-Augustin-de-Desmaures, Quebec, Canada, G3A 2Y1.
 
(iv) GLIF and 9356-8988 Québec Inc..: c/o EXFO Inc., 400 Godin Avenue, Quebec, Quebec G1M 2K2, Canada.
 
 
ITEM 2(c).
CITIZENSHIP:
 
Mr. Lamonde: a Canadian citizen.
 
GLIF: a corporation existing pursuant to the Business Corporations Act of Québec, Canada.
 
9356-8988 Québec Inc.: a corporation existing pursuant to the Business Corporations Act of Québec, Canada.
 
 
ITEM 2(d).
TITLE OF CLASS OF SECURITIES:
 
Multiple Voting Shares
 
Subordinate Voting Shares, no par value
 
 
ITEM 2(e).
CUSIP NUMBER:
 
302043 10 4
 
 


Page 6 of 8


ITEM 3.
Not applicable.
 
 
ITEM 4.
OWNERSHIP
 
As of December 31, 2020, Mr. Lamonde beneficially owned an aggregate of 31,643,000 Multiple Voting Shares and 3,672,474 Subordinate Voting Shares, which represent approximately 93.57% of the voting power in EXFO and 61.60% of the issued and outstanding shares of EXFO, being 31,643,000 Multiple Voting Shares and 25,684,370Subordinate Voting Shares. As of December 31, 2020, Mr. Lamonde had the sole power to vote or direct the vote of 31,643,000 Multiple Voting Shares and 3,672,474 Subordinate Voting Shares and the sole power to dispose or to direct the disposition of 31,643,000 Multiple Voting Shares and 3,672,474 Subordinate Voting Shares. Of the 31,643,000 Multiple Voting Shares beneficially owned by Mr. Lamonde, 29,743,000 Multiple Voting Shares were held of record by GLIF and 1,900,000 Multiple Voting Shares were held of record by 9356-8988 Québec Inc. Of the 3,672,474 Subordinate Voting Shares beneficially owned by Mr. Lamonde, 3,191,666 Subordinate Voting Shares were held of record by GLIF, 316,247 Subordinate Voting Shares were held of record by 9356-8988 Québec Inc. and 164,561 Subordinate Voting Shares were held of record by Mr. Lamonde. GLIF and 9356-8988 Québec Inc. are controlled by Mr. Lamonde.
 
 
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
 
Not applicable.


Page 7 of 8


SIGNATURES


After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct.

Dated:        January 21, 2021
  
 
 
 
/s/ Germain Lamonde
Germain Lamonde
 
 
 
 
  
9356-8988 QUÉBEC INC.
 
 
By  /s/ Germain Lamonde
Name : Germain Lamonde
Title : President
 
 
 
G. LAMONDE INVESTISSEMENTS FINANCIERS INC.
 
 
By  /s/ Germain Lamonde
Name : Germain Lamonde
Title : President
 
 


Page 8 of 8