SEC Form 5 · accession 0001441697-16-000001
Heron Lake BioEnergy, LLC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Ferguson
Director
Period of report
Oct 31, 2016
Accepted (ET)
Nov 9, 2016 · 4:58 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001286964
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A unitsF1,F2 | Jul 1, 2016 | J | 21,000 | $0.00 | D | 148,125 | I | By Spouse |
| Class A units | Jul 1, 2016 | J | 0 | $0.00 | A | 148,125 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects 21,000 Class A Units owned by a son of the Reporting Person that no longer resides in the Reporting Person's home. Reporting person disclaims beneficial ownership of these Class A Units.
- F2On July 1, 2016, the 296,250 Class A Units jointly owned by the Reporting Person and his spouse were transferred as follows for no consideration: 148,125 Class A Units to Reporting Person and 148,125 Class A Units to Reporting Person's spouse. This transaction was exempt under Rule 16a-13.