SEC Form 4 · accession 0001615594-16-000163
Advanced BioEnergy, LLC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Peterson
Officer — CEO, President and CFO · Director
Period of report
Jan 27, 2016
Accepted (ET)
Jan 29, 2016 · 1:07 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 Units | holding | — | — | — | 175,400 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Unit Appreciation RightF1,F2 | $1.27 | Jan 27, 2016 | A | 100,000 | A | Jan 27, 2016 | Jan 27, 2020 | Unit | 100,000 | 100,000 | D |
Explanation of responses
- F1Value as of September 20, 2015. Company will finalize the pricing when it files the Form 10-Q as of December 31, 2015.
- F2Option vests upon a change of control.