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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 | (3) | 03/01/2012 | A | 18,250 | (4) | (4) | Common Stock | 18,250 | $ 0 | 18,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PHILLIPS SCOTT B C/O MGP INGREDIENTS, INC. 100 COMMERCIAL STREET ATCHISON, KS 66002 |
VP Supply Chain Operations |
/s/ Scott B. Phillips | 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. The reporting person's direct beneficial ownership was also incorrectly reported in a Form 4 filed on April 11, 2012. |
(2) | The issuer's ESOP was terminated, and 2,104 shares of common stock previously reported as held through the ESOP are now reported as directly owned. |
(3) | Each RSU represents a contingent right to receive one share of the issuer's common stock. |
(4) | 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. |