SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
Lux Paul S.

(Last) (First) (Middle)
5050 KEMPER AVENUE

(Street)
ST. LOUIS MO 63139

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
04/01/2021
3. Issuer Name and Ticker or Trading Symbol
MGP INGREDIENTS INC [ MGPI ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) X Other (specify below)
Member of 10% owner group
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 990,557 I By Paul S. Lux(1)
Common Stock 367,270 I By Michele Lux(2)
Common Stock 367,270 I By Christopher E. Erblich(3)
Common Stock 651,011 I By Catherine N. Lux(4)
Common Stock 651,011 I By PandoTree Trust Company, LLC(5)
Common Stock 183,635(6) D
Common Stock 183,635(7) D
Common Stock 623,287(8) D
Common Stock 27,724(9) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
Lux Paul S.

(Last) (First) (Middle)
5050 KEMPER AVENUE

(Street)
ST. LOUIS MO 63139

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Lux Michele

(Last) (First) (Middle)
5050 KEMPER AVENUE

(Street)
ST. LOUIS MO 63139

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Erblich Christopher E.

(Last) (First) (Middle)
5060 N. 40TH STREET
SUITE 250

(Street)
PHOENIX AZ 85018

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Andrew Broddon Lux Luxco Irrevocable Trust dated July 30, 2012

(Last) (First) (Middle)
5050 KEMPER AVENUE

(Street)
ST. LOUIS MO 63139

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Philip Donn Lux Luxco Irrevocable Trust dated July 30, 2012

(Last) (First) (Middle)
5050 KEMPER AVENUE

(Street)
ST. LOUIS MO 63139

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Lux Catherine N.

(Last) (First) (Middle)
5050 KEMPER AVENUE

(Street)
ST. LOUIS MO 63139

(City) (State) (Zip)
1. Name and Address of Reporting Person*
PandoTree Trust Company, LLC

(Last) (First) (Middle)
212 S. MAIN AVENUE
SUITE 145

(Street)
SIOUX FALLS SD 57104

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Ann S. Lux 2005 Irrevocable Trust FBO Catherine N. Lux dated September 16, 2005

(Last) (First) (Middle)
212 S. MAIN AVENUE
SUITE 145

(Street)
SIOUX FALLS SD 57104

(City) (State) (Zip)
1. Name and Address of Reporting Person*
CNL 2013 Irrevocable Trust dated April 2, 2013

(Last) (First) (Middle)
212 S. MAIN AVENUE
SUITE 145

(Street)
SIOUX FALLS SD 57104

(City) (State) (Zip)
Explanation of Responses:
1. Paul S. Lux may be deemed to hold shared voting and dispositive power over the 367,270 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 interests in an additional 623,287 shares held by theAnn S. Lux 2005 Irrevocable Trust FBO Paul S. Lux dated September 16, 2005. Paul S. Lux is the spouse of Leslie Lux.
2. Michele Lux may be deemed to hold shared voting and dispositive power over the 367,270 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 Lux is the spouse of Donn S. Lux.
3. Christopher E. Erblich may be deemed to hold shared voting and dispositive power over the 367,270 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.
4. Catherine N. Lux may be deemed to hold shared voting power and dispositive power with respect to the 651,011 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.
5. PandoTree Trust Company may be deemed to hold shared voting power and dispositive power with respect to the 651,011 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.
6. These securities are beneficially owned by Andrew Broddon Lux Luxco Irrevocable Trust dated July 30, 2012. Paul S. Lux, Michele Lux and Christopher E. Erblich are the trustees of this trust.
7. These securities are beneficially owned by Philip Donn Lux Luxco Irrevocable Trust dated July 30, 2012. Paul S. Lux, Michele Lux and Christopher E. Erblich are the trustees of this trust.
8. 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.
9. 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 may be deemed to be part of a group with the reporting persons included in the Form 3 of even date herewith filed by Donn S. Lux and other group members, 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.
/s/ Paul S. Lux 04/05/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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