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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Goodman John C/O GOODMAN GLOBAL, INC. 2550 NORTH LOOP WEST, SUITE 400 HOUSTON, TX 77092 |
X |
/s/ Ben D. Campbell, as attorney in fact for John B. Goodman | 04/12/2006 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Includes shares of common stock and shares of preferred stock held by the John Bailey Goodman 1984 Grantor Trust of which the Reporting Person is co-trustee and beneficiary. |
(2) | Includes shares of common stock and shares of preferred stock held by the Betsy Goodman Abell 1984 Grantor Trust of which the Reporting Person is co-trustee. |
(3) | Includes shares of common stock and shares of preferred stock held by the Meg Goodman Daniel 1984 Grantor Trust of which the Reporting Person is co-trustee. |
(4) | In connection with the closing of the Issuer's initial public offering of common stock, all shares of preferred stock were redeemed at a liquidation preference of $1,000 per share. At the time of redemption, there were also accrued and unpaid dividends of $186,001.81 on the preferred stock held by the John Bailey Goodman 1984 Grantor Trust, which was paid to the John Bailey Goodman 1984 Grantor Trust on the closing date of the Issuer's initial public offering of common stock. |
(5) | In connection with the closing of the Issuer's initial public offering of common stock, all shares of preferred stock were redeemed at a liquidation preference of $1,000 per share. At the time of redemption, there were also accrued and unpaid dividends of $248,002.41 on the preferred stock held by the Betsy Goodman Abell 1984 Grantor Trust, which was paid to the Betsy Goodman Abell 1984 Grantor Trust on the closing date of the Issuer's initial public offering of common stock. |
(6) | In connection with the closing of the Issuer's initial public offering of common stock, all shares of preferred stock were redeemed at a liquidation preference of $1,000 per share. At the time of redemption, there were also accrued and unpaid dividends of $186,001.81 on the preferred stock held by the Meg Goodman Daniel 1984 Grantor Trust, which was paid to the Meg Goodman Daniel 1984 Grantor Trust on the closing date of the Issuer's initial public offering of common stock. |