SEC Form 4 · accession 0001209191-18-043805
POPE RESOURCES LTD PARTNERSHIP · POPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 31, 2015
Accepted (ET)
Jul 24, 2018 · 6:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000784011
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Limited Partnership UnitsF1 | Aug 31, 2015 | P | 50 | $65.4999 | A | 6,521 | I | By JHD Trust |
| Limited Partnership UnitsF2 | May 24, 2017 | P | 70 | $74.00 | A | 70 | I | TD IRA |
| Limited Partnership UnitsF2 | May 25, 2017 | P | 100 | $74.04 | A | 170 | I | TD IRA |
| Limited Partnership UnitsF3,F4 | May 24, 2017 | P | 250 | $73.974 | A | 250 | I | WD IRAs |
| Limited Partnership UnitsF4 | Jun 6, 2017 | P | 50 | $73.38 | A | 300 | I | WD IRAs |
| Limited Partnership UnitsF4 | Jul 25, 2017 | P | 100 | $75.00 | A | 400 | I | WD IRAs |
| Limited Partnership UnitsF4 | Aug 7, 2017 | P | 100 | $72.90 | A | 500 | I | WD IRAs |
| Limited Partnership UnitsF4 | Jan 25, 2018 | P | 100 | $70.25 | A | 600 | I | WD IRAs |
| Limited Partnership UnitsF5,F6 | holding | — | — | — | 2,525 | I | By Household Family Member | |
| Limited Partnership UnitsF5 | holding | — | — | — | 147,652 | D | ||
| Limited Partnership UnitsF7 | holding | — | — | — | 186,168 | I | By IRA Accounts | |
| Limited Partnership UnitsF8 | holding | — | — | — | 26,411 | I | By KMD Trust | |
| Limited Partnership UnitsF9 | holding | — | — | — | 102,842 | I | By JHD Trust FBO KWD | |
| Limited Partnership UnitsF10 | holding | — | — | — | 21,879 | I | By JHD Trust FBO JAD | |
| Limited Partnership UnitsF11 | holding | — | — | — | 29,250 | I | By Dahl Family Foundation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Units are owned by the James H. Dahl Irrevocable Trust, 2007, James Schmitt, Trustee.
- F10Units are held by James H. Dahl Trust FBO James Andrew Dahl, the trustee of which is William L. Dahl.
- F11Units are held by Dahl Family Foundation, the trustee of which is William L. Dahl. Neither James H. Dahl nor any member of his family has any pecuniary interest in the units held by the Dahl Family Foundation, Inc.
- F2Units are held by IRA custodial accounts for the benefit of Theresa A. Dahl.
- F3The price reported in Column 4 is a weighted average price. The units were purchased at prices ranging from $73.89 to $74.03 per unit. The reporting persons undertake to provide the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of units purchased at each separate price within the ranges set forth in this Footnote.
- F4Units are held by in IRA accounts for the benefit of William L. Dahl.
- F5The Form 4 filed on June 13, 2013 by the reporting persons ("the June 13, 2013 Form 4") incorrectly sought to correct the tally of units directly held by the reporting persons and those held by an adult member of a reporting person's household. As a result, the total holding for each were incorrectly stated, specifically: (a) the amount reported as directly held on the June 13, 2013 Form 4 by a reporting person was 144,827 but should not have changed from the correct amount of 147,652, as reported on the Form 4, filed with the SEC on June 11, 2013 ("Correct Form 4"); and (b) the amount reported as held by an adult member of a reporting person's household on the June 13, 2013 Form 4 was 2,825 but should not have changed from the correct amount of 1,075, as reported on the Correct Form 4. Each Form 4 filed since the June 13, 2013 Form 4 continued such erroneous tally of holdings. The total holdings referenced in this Form 4 correct such reporting error.
- F6Units are owned by an adult member of James H. Dahl's household. He disclaims beneficial ownership of these units.
- F7Units are held in two IRA accounts as follows: 53,854 unit held by IRA FOB James H. Dahl (ROTH Conversion Account) and 132,314 units held by IRS FBO James H. Dahl (ROTH II Jefferies).
- F8Units are held by Kathleen M. Dahl Irrevocable Trust, the trustee of which is James H. Dahl.
- F9Units are held by James H. Dahl Trust FBO Kathryn Whitten Dahl, the trustee of which is William L. Dahl.