SEC Form 5 · accession 0000899243-16-012303
Advanced BioEnergy, LLC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott A Brittenham
Director · 10% Owner
Period of report
Dec 31, 2015
Accepted (ET)
Jan 28, 2016 · 3:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001325740
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Membership UnitsF1,F10 | Jan 8, 2015 | S$0 | 500,000 | $0.00 | D | 0 | I | See Footnotes |
| Membership UnitsF2,F10 | Jan 8, 2015 | S$0 | 2,750,000 | $0.00 | D | 0 | I | See Footnotes |
| Membership UnitsF2,F10 | Jan 8, 2015 | P$0 | 591,268 | $0.00 | A | 591,268 | I | See Footnotes |
| Membership UnitsF2,F10 | Jan 8, 2015 | P$0 | 226,247 | $0.00 | A | 226,247 | I | See Footnotes |
| Membership UnitsF2,F10 | Jan 8, 2015 | P$0 | 249,234 | $0.00 | A | 249,234 | I | See Footnotes |
| Membership UnitsF2,F10 | Jan 8, 2015 | P$0 | 109,531 | $0.00 | A | 109,531 | I | See Footnotes |
| Membership UnitsF2,F10 | Jan 8, 2015 | P$0 | 115,072 | $0.00 | A | 115,072 | I | See Footnotes |
| Membership UnitsF2,F10 | Jan 8, 2015 | P$0 | 78,502 | $0.00 | A | 78,502 | I | See Footnotes |
| Membership UnitsF2,F10 | Jan 8, 2015 | P$0 | 387,946 | $0.00 | A | 387,946 | I | See Footnotes |
| Membership UnitsF2,F10 | Jan 8, 2015 | P$0 | 258,249 | $0.00 | A | 258,249 | I | See Footnotes |
| Membership UnitsF2,F10 | Jan 8, 2015 | P$0 | 258,016 | $0.00 | A | 258,016 | I | See Footnotes |
| Membership UnitsF2,F10 | Jan 8, 2015 | P$0 | 381,544 | $0.00 | A | 381,544 | I | See Footnotes |
| Membership UnitsF2,F10 | Jan 8, 2015 | P$0 | 94,391 | $0.00 | A | 94,391 | I | See Footnotes |
| Membership UnitsF3,F10 | Jan 8, 2015 | S$0 | 78,502 | $0.00 | D | 0 | I | See Footnotes |
| Membership UnitsF4,F10 | Jul 1, 2015 | S$0 | 591,268 | $0.00 | D | 0 | I | See Footnotes |
| Membership UnitsF5,F10 | Oct 1, 2015 | S$0 | 226,247 | $0.00 | D | 0 | I | See Footnotes |
| Membership UnitsF6,F10 | Oct 1, 2015 | S$0 | 249,234 | $0.00 | D | 0 | I | See Footnotes |
| Membership UnitsF7,F10 | holding | — | — | — | 379,617 | I | See Footnotes | |
| Membership UnitsF8,F10 | holding | — | — | — | 475,462 | I | See Footnotes | |
| Membership UnitsF9,F10 | holding | — | — | — | 318,420 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These Units were previously owned by Tennessee Ethanol Partners, L.P. ("TEP"), of which Clean Energy Capital, LLC ("CEC") was the general partner and investment advisor and had sole voting and dispositive power over its assets. On October 31, 2014, the term of TEP expired; and, in connection with the liquidation of TEP, the Units were distributed to the limited partners of TEP. At all times, CEC and Scott Brittenham have disclaimed beneficial ownership of these Units and are no longer under any obligation to report transactions with respect to these Units.
- F10Scott Brittenham, a director of the Issuer, is President of CEC and may therefore be deemed an indirect beneficial owner of the Units. Scott Brittenham disclaims beneficial ownership of these Units.
- F2See Exhibit 99.1.
- F3These Units were previously owned by Ethanol Capital Partners, LP Series M ("Series M"), of which CEC was the general partner and investment advisor and had sole voting and dispositive power over its assets. The term of Series M expired; and effective January 1, 2015, in connection with the liquidation of Series M, the Units were distributed to the series limited partners of Series M. At all times, CEC and Scott Brittenham have disclaimed beneficial ownership of these Units and are no longer under any obligation to report transactions with respect to these Units.
- F4These Units were previously owned by Ethanol Capital Partners, LP Series E ("Series E"), of which CEC was the general partner and investment advisor and had sole voting and dispositive power over its assets. On May 26, 2015, the term of Series E expired; and, in connection with the liquidation of Series E, the Units were distributed to the series limited partners of Series E. At all times, CEC and Scott Brittenham have disclaimed beneficial ownership of these Units and are no longer under any obligation to report transactions with respect to these Units.
- F5These Units were previously owned by Ethanol Capital Partners, LP Series H ("Series H"), of which CEC was the general partner and investment advisor and had sole voting and dispositive power over its assets. On July 31, 2015, the term of Series H expired; and, in connection with the liquidation of Series H, the Units were distributed to the series limited partners of Series H. At all times, CEC and Scott Brittenham have disclaimed beneficial ownership of these Units and are no longer under any obligation to report transactions with respect to these Units.
- F6These Units were previously owned by Ethanol Capital Partners, LP Series I ("Series I"), of which CEC was the general partner and investment advisor and had sole voting and dispositive power over its assets. On July 31, 2015, the term of Series I expired; and, in connection with the liquidation of Series I, the Units were distributed to the series limited partners of Series I. At all times, CEC and Scott Brittenham have disclaimed beneficial ownership of these Units and are no longer under any obligation to report transactions with respect to these Units.
- F7These Units are owned by Ethanol Capital Partners, LP Series V, of which CEC is the general partner and investment advisor and has sole voting and dispositive power over its assets. CEC disclaims beneficial ownership of these Units.
- F8These Units are owned by Ethanol Capital Partners, LP Series T, of which CEC is the general partner and investment advisor and has sole voting and dispositive power over its assets. CEC disclaims beneficial ownership of these Units.
- F9These Units are owned by Ethanol Capital Partners, LP Series R, of which CEC is the general partner and investment advisor and has sole voting and dispositive power over its assets. CEC disclaims beneficial ownership of these Units.