FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
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Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Advanced BioEnergy, LLC [ NONE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 12/31/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Membership Units | 01/08/2015 | 01/01/2015 | S4 | 500,000 | D | $0.00 | 0 | I | See Footnotes(1)(10) | ||||||
Membership Units | 01/08/2015 | 01/01/2015 | S4 | 2,750,000 | D | $0.00 | 0 | I | See Footnotes(2)(10) | ||||||
Membership Units | 01/08/2015 | 01/01/2015 | P4 | 591,268 | A | $0.00 | 591,268 | I | See Footnotes(2)(10) | ||||||
Membership Units | 01/08/2015 | 01/01/2015 | P4 | 226,247 | A | $0.00 | 226,247 | I | See Footnotes(2)(10) | ||||||
Membership Units | 01/08/2015 | 01/01/2015 | P4 | 249,234 | A | $0.00 | 249,234 | I | See Footnotes(2)(10) | ||||||
Membership Units | 01/08/2015 | 01/01/2015 | P4 | 109,531 | A | $0.00 | 109,531 | I | See Footnotes(2)(10) | ||||||
Membership Units | 01/08/2015 | 01/01/2015 | P4 | 115,072 | A | $0.00 | 115,072 | I | See Footnotes(2)(10) | ||||||
Membership Units | 01/08/2015 | 01/01/2015 | P4 | 78,502 | A | $0.00 | 78,502 | I | See Footnotes(2)(10) | ||||||
Membership Units | 01/08/2015 | 01/01/2015 | P4 | 387,946 | A | $0.00 | 387,946 | I | See Footnotes(2)(10) | ||||||
Membership Units | 01/08/2015 | 01/01/2015 | P4 | 258,249 | A | $0.00 | 258,249 | I | See Footnotes(2)(10) | ||||||
Membership Units | 01/08/2015 | 01/01/2015 | P4 | 258,016 | A | $0.00 | 258,016 | I | See Footnotes(2)(10) | ||||||
Membership Units | 01/08/2015 | 01/01/2015 | P4 | 381,544 | A | $0.00 | 381,544 | I | See Footnotes(2)(10) | ||||||
Membership Units | 01/08/2015 | 01/01/2015 | P4 | 94,391 | A | $0.00 | 94,391 | I | See Footnotes(2)(10) | ||||||
Membership Units | 01/08/2015 | 01/01/2015 | S4 | 78,502 | D | $0.00 | 0 | I | See Footnotes(3)(10) | ||||||
Membership Units | 07/01/2015 | S4 | 591,268 | D | $0.00 | 0 | I | See Footnotes(4)(10) | |||||||
Membership Units | 10/01/2015 | S4 | 226,247 | D | $0.00 | 0 | I | See Footnotes(5)(10) | |||||||
Membership Units | 10/01/2015 | S4 | 249,234 | D | $0.00 | 0 | I | See Footnotes(6)(10) | |||||||
Membership Units | 379,617 | I | See Footnotes(7)(10) | ||||||||||||
Membership Units | 475,462 | I | See Footnotes(8)(10) | ||||||||||||
Membership Units | 318,420 | I | See Footnotes(9)(10) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. These 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. |
2. See Exhibit 99.1. |
3. These 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. |
4. These 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. |
5. These 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. |
6. These 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. |
7. These 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. |
8. These 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. |
9. These 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. |
10. Scott 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. |
Remarks: |
/s/ Scott Brittenham, President of CEC | 01/28/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |