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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 | |
Frio Holdings LLC TWO MANHATTANVILLE ROAD PURCHASE, NY 10577 |
X | |||
APOLLO INVESTMENT FUND V LP TWO MANHATTANVILLE ROAD PURCHASE, NY 10577 |
X | |||
APOLLO OVERSEAS PARTNERS V LP TWO MANHATTANVILLE ROAD PURCHASE, NY 10577 |
X | |||
APOLLO NETHERLANDS PARTNERS V A LP TWO MANHATTANVILLE ROAD PURCHASE, NY 10577 |
X | |||
APOLLO NETHERLANDS PARTNERS V B LP TWO MANHATTANVILLE ROAD PURCHASE, NY 10577 |
X | |||
APOLLO MANAGEMENT V LP TWO MANHATTANVILLE ROAD PURCHASE, NY 10577 |
X | |||
APOLLO ADVISORS V LP TWO MANHATTANVILLE ROAD, PURCHASE, NY 10577 |
X |
/s/ Patricia M. Navis, Vice President of AIF V Management, Inc., General Partner of Apollo Management V, L.P., Manager of Frio Holdings LLC | 04/12/2006 | |
**Signature of Reporting Person | Date | |
/s/ Patricia M. Navis, Vice President of Apollo Capital Management V, Inc., General Partner of Apollo Advisors V, L.P., General Partner of Apollo Investment Fund V, L.P. | 04/12/2006 | |
**Signature of Reporting Person | Date | |
/s/ Patricia M. Navis, Vice President of Apollo Capital Management V, Inc., General Partner of Apollo Advisors V, L.P., Managing Partner of Apollo Overseas Partners V, L.P. | 04/12/2006 | |
**Signature of Reporting Person | Date | |
/s/ Patricia M. Navis, Vice President of Apollo Capital Management V, Inc., General Partner of Apollo Advisors V, L.P., Managing Partner of Apollo Netherlands Partners V(A), L.P. | 04/12/2006 | |
**Signature of Reporting Person | Date | |
/s/ Patricia M. Navis, Vice President of Apollo Capital Management V, Inc., General Partner of Apollo Advisors V, L.P., Managing Partner of Apollo Netherlands Partners V(B), L.P. | 04/12/2006 | |
**Signature of Reporting Person | Date | |
/s/ Patricia M. Navis, Vice President of AIF V Management, Inc., General Partner of Apollo Management V, L.P. | 04/12/2006 | |
**Signature of Reporting Person | Date | |
/s/ Patricia M. Navis, Vice President of Apollo Capital Management V, Inc., General Partner of Apollo Advisors V, L.P. | 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) | The shares of common stock of Goodman Global, Inc. (the "Issuer") reported as beneficially owned in the above table are owned of record by Frio Holdings LLC, a Delaware limited liability company ("Frio"). The members of Frio are Apollo Investment Fund V, L.P., Apollo Overseas Partners V, L.P., Apollo Netherlands Partners V(A), L.P. and Apollo Netherlands Partners V(B), L.P. (collectively, the "Apollo Funds"). Apollo Management V, L.P. ("Management V") serves as the manager of Frio and of each of the Apollo Funds. Apollo Advisors V, L.P. ("Advisors V") serves as the general partner or managing general partner of each of the Apollo Funds. As manager, or general partner or managing general partner, respectively, Management V and Advisors V may be deemed to have voting and investment control over the shares held by Frio and may be deemed the beneficial owner of such shares. (Continue in Footnote 2) |
(2) | AIF V Management, Inc. ("AIF V") is the general partner of Management V and Apollo Capital Management V, Inc. ("ACM V") is the general partner of Advisors V. Each of the Apollo Funds, Management V, Advisors V, AIF V, ACM V, and Messrs. Leon Black and John Hannan, the executive officers and directors of AIF V and ACM V, disclaim ownership of all shares reported herein in excess of their pecuniary interests, if any, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
(3) | 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 $20,198,073 on the preferred stock held by Frio Holdings LLC, which was paid to Frio Holdings LLC on the closing of the Issuer's initial public offering of common stock. |