Paul S. Lux - Apr 1, 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
Stock symbol
MGPI
Transactions as of
Apr 1, 2021
Transactions value $
$0
Form type
3/A - Amendment
Date filed
10/7/2021, 04:13 PM
Date Of Original Report
Apr 5, 2021
Next filing
Aug 25, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding MGPI Common Stock 991K Apr 1, 2021 By Paul S. Lux F1
holding MGPI Common Stock 367K Apr 1, 2021 By Michele B, Lux F2
holding MGPI Common Stock 367K Apr 1, 2021 By Christopher E. Erblich F3
holding MGPI Common Stock 651K Apr 1, 2021 By Catherine N. Lux F4
holding MGPI Common Stock 651K Apr 1, 2021 By PandoTree Trust Company, LLC F5
holding MGPI Common Stock 184K Apr 1, 2021 Direct F6
holding MGPI Common Stock 184K Apr 1, 2021 Direct F7
holding MGPI Common Stock 623K Apr 1, 2021 Direct F8
holding MGPI Common Stock 27.7K Apr 1, 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.