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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (4) | 03/01/2012 | A | 18,250 | (5) | (5) | Common Stock | 18,250 | $ 0 | 18,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NEWKIRK TIMOTHY W C/O MGP INGREDIENTS, INC. 100 COMMERCIAL STREET ATCHISON, KS 66002 |
X | President and CEO |
/s/ Timothy W. Newkirk | 03/15/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | On March 5, 2012, a Form 4 was filed for the reporting person disclosing a grant of 18,250 shares of common stock on March 1, 2012. This grant in fact never occurred. Instead, the reporting person was granted an award of 18,250 restricted stock units (RSUs). The Form 4 filed on December 7, 2012 reported an incorrect number of RSUs granted on March 1, 2012. |
(2) | The reporting person no longer has a reportable beneficial interest in 350 shares of common stock owned by Son A or 500 shares of common stock owned by Son B and included in the reporting person's prior ownership reports. |
(3) | The issuer's ESOP was terminated, and 6,141 shares of common stock previously reported as held through the ESOP were contributed to the IRA. |
(4) | Each RSU represents a contingent right to receive one share of the issuer's common stock. |
(5) | The RSUs will vest on March 1, 2017 and the shares will be valued at the closing market price on that date and delivered to the reporting person. |