UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-Qualified Stock Option: right to buy | Â (1) | 03/01/2015 | Common Stock | 22,741 | $ 5.28 | D | Â |
Non-Qualified Stock Option: right to buy | Â (2) | 12/29/2015 | Common Stock | 15,160 | $ 14.52 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Toppe Ardee D C/O GOODMAN GLOBAL, INC. 2550 NORTH LOOP WEST, SUITE 400 HOUSTON, TX 77092 |
 |  |  VP and Pres and GM, Quietflex |  |
/s/ Ardee D. Toppe | 04/28/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | 32.5% of the shares subject to these options are fully vested and exercisable. 12.5% of the shares will vest annually for the next three years beginning on December 31, 2006, such that 37.5% will be fully vested on December 31, 2008. 10% of the shares will vest annually for the next three years beginning on December 31, 2006 to the extent the Issuer achieves certain annual performance measures, such that 30% will be fully vested on December 31, 2008, and if the Issuer does not achieve such performance measures, such shares will become fully vested on December 23, 2012. |
(2) | 25% of the shares subject to these options will vest annually for the next four years beginning on December 22, 2006, such that 100% will be fully vested on December 22, 2009. |