Annual Statement of Changes in Beneficial Ownership (5)
July 14 2014 - 6:24PM
Edgar (US Regulatory)
FORM 5
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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).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden
hours per response...
1.0
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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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1. Name and Address of Reporting Person
*
JONES DAVID
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2. Issuer Name
and
Ticker or Trading Symbol
GOLDEN ENTERPRISES INC [GLDC]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Executive VP of Operations
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(Last)
(First)
(Middle)
ONE GOLDEN FLAKE DRIVE
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
5/31/2013
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(Street)
BIRMINGHAM, AL 35205
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
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7. Nature of Indirect Beneficial Ownership
(Instr. 4)
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Amount
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(A) or (D)
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Price
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Common Stock
(1)
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6/18/2013
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6/18/2013
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L
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12.5375
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A
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$3.67
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0
(3)
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D
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Common Stock
(1)
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7/16/2013
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7/16/2013
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L
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12.6374
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A
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$3.64
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0
(3)
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D
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Common Stock
(1)
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8/7/2013
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8/7/2013
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L
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4.9235
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A
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$3.53
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0
(3)
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D
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Common Stock
(1)
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8/20/2013
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8/20/2013
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L
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12.8495
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A
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$3.58
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0
(3)
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D
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Common Stock
(1)
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9/17/2013
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9/17/2013
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L
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12.3324
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A
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$3.73
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0
(3)
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D
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Common Stock
(1)
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10/15/2013
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10/15/2013
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L
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11.0048
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A
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$4.00
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0
(3)
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D
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Common Stock
(1)
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10/30/2013
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10/30/2013
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L
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4.3723
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A
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$4.19
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0
(3)
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D
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Common Stock
(1)
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11/19/2013
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11/19/2013
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L
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11.0846
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A
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$4.15
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0
(3)
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D
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Common Stock
(1)
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12/17/2013
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12/17/2013
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L
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11.3861
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A
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$4.04
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0
(3)
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D
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Common Stock
(1)
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1/21/2014
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1/21/2014
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L
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11.2195
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A
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$4.10
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0
(3)
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D
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Common Stock
(1)
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1/29/2014
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1/29/2014
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L
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4.875
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A
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$4.00
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0
(3)
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D
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Common Stock
(1)
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2/18/2014
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2/18/2014
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L
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11.358
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A
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$4.05
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0
(3)
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D
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Common Stock
(1)
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3/18/2014
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3/18/2014
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L
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10.7669
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A
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$4.28
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0
(3)
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D
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Common Stock
(1)
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4/15/2014
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4/15/2014
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L
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10.3455
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A
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$4.45
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0
(3)
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D
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Common Stock
(1)
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4/23/2014
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4/23/2014
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L
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12.6473
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A
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$4.31
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0
(3)
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D
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Common Stock
(1)
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5/20/2014
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5/20/2014
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L
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10.4188
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A
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$4.42
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$1777.70
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D
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Common Stock
(1)
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5231128
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I
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By SYB, Inc.
(2)
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Common Stock
(1)
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600279
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I
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By Testa-mentary Marital Trust
(2)
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Common Stock
(1)
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2217
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I
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By Golden Flake Snack Foods, Inc. 401(k) Plan and Trust
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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 Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
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(A)
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(D)
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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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Explanation of Responses:
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(
1)
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Purchases are part of automatic investment program of $46 per month and reinvestment of dividends in Golden Enterprises, Inc. Common Stock.
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(
2)
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As a Company Director, Mr. Jones will serve on the Voting Committee created under the Last Will and Testament/Trusts and SYB, Inc. Common Stock Trust created by Sloan Y. Bashinsky, Sr. (AMr. Bashinsky@). The Voting Committee, presently made up of eight members (seven members of the Issuer=s Board of Directors and one member selected by the Personal Representatives and Trustees of Mr. Bashinsky=s Estate/Trusts), votes the shares of Issuer=s stock owned by the Marital Trust created by the Last Will and Testament of Mr. Bashinsky (ATestamentary Trust@) (600,279 Shares) and the shares owned by SYB, Inc. (5,231,128 Shares). Mr. Jones disclaims beneficial ownership of such Shares. The Voting Committee has previously executed a Schedule 13D on behalf of a Voting Group of the Testamentary Trust and the SYB, Inc. Common Stock Trust.
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(
3)
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Total number of shares owned at end of year is shown after last purchase.
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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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JONES DAVID
ONE GOLDEN FLAKE DRIVE
BIRMINGHAM, AL 35205
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X
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Executive VP of Operations
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Signatures
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/s/ David A. Jones
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7/14/2014
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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 4(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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