|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock option ( right to buy) | $ 5.28 | 02/13/2008 | D | 768,996 | (2) | 12/23/2014 | Common Stock | 768,996 | $ 20.32 | 0 | D | ||||
Non-Qualified Stock option ( right to buy) | $ 5.28 | 02/13/2008 | D | 2,599 | (3) | 12/23/2014 | Common Stock | 2,599 | (3) | 0 | D | ||||
Non-Qualified Stock option ( right to buy) | $ 14.52 | 02/13/2008 | D | 75,803 | (4) | 12/29/2015 | Common Stock | 75,803 | $ 11.08 | 0 | D | ||||
Non-Qualified Stock option ( right to buy) | $ 19.16 | 02/13/2008 | D | 90,000 | (5) | 05/07/2017 | Common Stock | 90,000 | $ 6.44 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Blackburn Lawrence C/O GOODMAN GLOBAL, INC. 5151 SAN FELIPE, SUITE 500 HOUSTON, TX 77056 |
Executive VP and CFO |
/s/ Sean Bunk as attorney-in-fact for Lawrence M. Blackburn | 02/15/2008 | |
**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) | 340,555 shares of the Issuer's common stock were rolled into equity securities of a private acquirer with a contribution value of approximately $8,718,208. |
(2) | This option, which provided for a combination of performance and time vesting beginning on 12/31/05, was canceled in the merger for a cash payment of $15,625,998.72, the difference between the exercise price of the option and the merger consideration ($25.60). |
(3) | This option, which provided for a combination of performance and time vesting beginning on 12/31/05, had 2,599 options were rolled into equity securities of a private acquirer with a contribution value of $52,811.68. |
(4) | This option, which provided for vesting in 4 equal installments beginning 12/22/2006, was canceled in the merger for a cash payment of of $839,897.24, the difference between the exercise price of the option and the merger consideration ($25.60). |
(5) | This option, which provided for vesting in 4 equal installments beginning 12/31/2007, was canceled in the merger for a cash payment of of $579,600, the difference between the exercise price of the option and the merger consideration ($25.60). |