Paul S. Lux - 01 Apr 2021 Form 3/A - Amendment Insider Report for MGP INGREDIENTS INC (MGPI)

Role: Member of 10% owner group, 10%+ Owner
Signature: /s/ Paul S. Lux, individually and as trustee of the co-trustee of the Andrew Broddon Lux Luxco Irrevocable Trust dated 7/30/2012 and the Philip Donn Lux Luxco Irrevocable Trust dated 7/30/2012
Issuer symbol: MGPI
Transactions as of: 01 Apr 2021
Net transactions value: $0
Form type: 3/A - Amendment
Filing time: 07 Oct 2021, 16:13:18 UTC
Date Of Original Report: 05 Apr 2021
Next filing: 25 Aug 2023
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Shares After	Date	Ownership	Footnotes
holding	MGPI	Common Stock	990,828	01 Apr 2021	By Paul S. Lux	F1
holding	MGPI	Common Stock	367,370	01 Apr 2021	By Michele B, Lux	F2
holding	MGPI	Common Stock	367,370	01 Apr 2021	By Christopher E. Erblich	F3
holding	MGPI	Common Stock	651,189	01 Apr 2021	By Catherine N. Lux	F4
holding	MGPI	Common Stock	651,189	01 Apr 2021	By PandoTree Trust Company, LLC	F5
holding	MGPI	Common Stock	183,685	01 Apr 2021	Direct	F6
holding	MGPI	Common Stock	183,685	01 Apr 2021	Direct	F7
holding	MGPI	Common Stock	623,458	01 Apr 2021	Direct	F8
holding	MGPI	Common Stock	27,731	01 Apr 2021	Direct	F9

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Paul S. Lux may be deemed to hold shared voting and dispositive power over the 367,370 shares held by the Andrew Broddon Lux Luxco Irrevocable Trust dated July 30, 2012 and the Philip Donn Lux Luxco Irrevocable Trust dated July 30, 2012. Paul S. Lux also may be deemed to have a pecuniary interest in an additional 623,458 shares held by the Ann S. Lux 2005 Irrevocable Trust FBO Paul S. Lux dated September 16, 2005. Paul S. Lux is the spouse of Leslie P. Lux.
F2	Michele B. Lux may be deemed to hold shared voting and dispositive power over the 367,370 shares held by the Andrew Broddon Lux Luxco Irrevocable Trust dated July 30, 2012 and the Philip Donn Lux Luxco Irrevocable Trust dated July 30, 2012. Michele B. Lux is the spouse of Donn S. Lux.
F3	Christopher E. Erblich may be deemed to hold shared voting and dispositive power over the 367,370 shares held by the Andrew Broddon Lux Luxco Irrevocable Trust dated July 30, 2012 and the Philip Donn Lux Luxco Irrevocable Trust dated July 30, 2012.
F4	Catherine N. Lux may be deemed to hold shared voting power and dispositive power with respect to the 651,189 Shares held by the Ann S. Lux 2005 Irrevocable Trust FBO Catherine N. Lux dated September 16, 2005 and the CNL 2013 Irrevocable Trust dated April 2, 2013.
F5	PandoTree Trust Company, LLC may be deemed to hold shared voting power and dispositive power with respect to the 651,189 Shares held by the Ann S. Lux 2005 Irrevocable Trust FBO Catherine N. Lux dated September 16, 2005 and the CNL 2013 Irrevocable Trust dated April 2, 2013.
F6	These securities are beneficially owned by Andrew Broddon Lux Luxco Irrevocable Trust dated July 30, 2012. Paul S. Lux, Michele B. Lux and Christopher E. Erblich are the trustees of this trust.
F7	These securities are beneficially owned by Philip Donn Lux Luxco Irrevocable Trust dated July 30, 2012. Paul S. Lux, Michele B. Lux and Christopher E. Erblich are the trustees of this trust.
F8	These securities are beneficially owned by Ann S. Lux 2005 Irrevocable Trust FBO Catherine N. Lux dated September 16, 2005. Catherine N. Lux and PandoTree Trust Company, LLC are the trustees of this trust.
F9	These securities are beneficially owned by CNL 2013 Irrevocable Trust dated April 2, 2013. Catherine N. Lux and PandoTree Trust Company, LLC are the trustees of this trust.

Remarks:

This is form 2 of 2. The Reporting Persons included herein and the reporting persons included in the Form 3/A of even date herewith filed by Donn S. Lux and other group members (collectively with the Reporting Persons included herein, the "Lux Reporting Persons") may be demed to be part of a group, due to the entry by such parties into a Shareholders Agreement dated April 1, 2021. Each of the Reporting Persons disclaims beneficial ownership of the shares of the Issuer's common stock reported herein, except to the extent of their pecuniary interest therein. On April 1, 2021, an aggregate of 5,007,828 shares of the Issuer's common stock were issued to the Lux Reporting Persons pursuant to the closing of transactions contemplated by an Agreement and Plan of Merger by and among the Lux Reporting Persons, the Issuer and other parties. The acquisitions of these shares by the Lux Reporting Persons were reported on Forms 3 filed on April 5, 2021. On September 21, 2021, the final purchase price adjustment was completed, and an additional aggregate of 1,373 shares of the Issuer's common stock were allocated to the Lux Reporting Persons. Pursuant to Dilorenzo v. Murphy, 322 F. Supp. 2d 479 (S.D.N.Y. 2004), these additional shares are deemed acquired as of the date of the closing of the merger, and this Form 3/A reflects the total number of shares acquired by each of the reporting persons.