SEC Form 4 · accession 0001318937-18-000001
GOLDEN GRAIN ENERGY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Sovereign
Director
Period of report
Jul 16, 2018
Accepted (ET)
Jul 18, 2018 · 2:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001206942
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Membership UnitsF1,F2 | Jul 16, 2018 | P | 10,000 | $7.50 | A | 117,000 | I | See Footnote |
| Class B Membership UnitsF3 | Jul 16, 2018 | P$0 | 0 | $0.00 | A | 39,000 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1per unit
- F2Dave Sovereign owns 57,000 Class A units individually, and beneficially owns 60,000 Class A units through DRSG Partnership of which Mr. Sovereign is a partner.
- F3Dave Sovereign owns 2,000 Class B units individually and beneficially owns 17,000 Class B units through Mr. Sovereign's part ownership of GDB, LLC and beneficially owns 20,000 Class B units through Mr. Sovereign's part ownership in DRSG Partnership. Dave Sovereign shares investment and voting power with respect to the 2,000 Class B units with his spouse and shares investment and voting power with respect to the 37,000 Class B units with the other owners of GDB, LLC and DRSG Partnership.