- Initial Statement of Beneficial Ownership (3)
September 11 2012 - 5:04AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Friesema Michael J
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/29/2012
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3. Issuer Name
and
Ticker or Trading Symbol
PENFORD CORP [PENX]
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(Last)
(First)
(Middle)
C/O PENFORD CORPORATION, 7094 S. REVERE PARKWAY
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
VP Business Development /
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(Street)
CENTENNIAL, CO 80112-3932
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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2000.0000
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D
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Common Stock
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1449.7010
(1)
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I
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401(k) plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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9/8/2011
(2)
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9/8/2017
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Common Stock
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10000.0000
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$4.6600
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D
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Stock Option (Right to Buy)
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1/26/2013
(2)
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1/26/2019
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Common Stock
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10000.0000
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$5.6500
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D
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Explanation of Responses:
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(
1)
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Estimate of shares held within the 401(k) plan on the reporting person's behalf based on the 401(k) Penford stock fund balance divided by the stock closing price on August 29, 2012. It should be noted that the 401(k) Penford stock fund generally contains some cash and therefore is not fully invested in Penford stock.
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(
2)
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The option becomes exercisable in three equal installments beginning on the first anniversary from date of grant; the first anniversary date is indicated above as the Date Exercisable.
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Remarks:
Exhibit 24 power of attorney filed herewith.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Friesema Michael J
C/O PENFORD CORPORATION
7094 S. REVERE PARKWAY
CENTENNIAL, CO 80112-3932
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VP Business Development
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Signatures
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/s/ Michael J. Friesema
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9/10/2012
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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