-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IOaMAIFo26iE4evvhnbEpO3SMIe/O4aUy+3zQ/5sRwxPWoXu45vXd+aMhVCi6KF9 CCNnHsp8bbqoYP/ln4S0Cw== 0000950134-02-001400.txt : 20020414 0000950134-02-001400.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950134-02-001400 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CRAFTMADE INTERNATIONAL INC CENTRAL INDEX KEY: 0000856250 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-ELECTRICAL APPLIANCES, TV & RADIO SETS [5064] IRS NUMBER: 752057054 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43696 FILM NUMBER: 02550181 BUSINESS ADDRESS: STREET 1: 650 S ROYAL LANE SUITE 100 CITY: COPPELL STATE: TX ZIP: 75050 BUSINESS PHONE: 9723933800 MAIL ADDRESS: STREET 1: CRAFTMADE INTERNATIONAL INC STREET 2: 650 S ROYAL LANE SUITE 100 CITY: COPPELL STATE: TX ZIP: 75050 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HUMPHREY NEALL W CENTRAL INDEX KEY: 0001072381 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 5005 HILLSDALE CIRCLE CITY: EL DORADO HILLS STATE: CA ZIP: 95762 BUSINESS PHONE: 9169333943 MAIL ADDRESS: STREET 1: 5005 HILLSDALE CIRCLE CITY: EL DORADO HILLS STATE: CA ZIP: 95762 SC 13D/A 1 d94267dasc13da.txt AMENDMENT NO. 1 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Craftmade International, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 par value per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 22413E-10-4 ----------------------------------------------------------- (CUSIP Number) Mr. Neall W. Humphrey 5005 Hillsdale Circle El Dorado Hills, California 95762 (916) 933-3943 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 14, 2002 ----------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of section 240.13d-1(e), (f) or (g), check the following box 9. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13D - ------------------------ ------------------- CUSIP No. 22413E-10-4 Page 2 of 5 Pages - ------------------------ ------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Neall W. Humphrey Leslie D. Humphrey - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] The Reporting Persons are husband and wife and hold the shares jointly as community property. - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS Not applicable - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY ------------------------------------------------------------- EACH 8 SHARED VOTING POWER REPORTING PERSON 503,150 WITH ------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- ------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 503,150 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 503,150 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.5% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN; IN - -------------------------------------------------------------------------------- AMENDMENT NO. 2 TO SCHEDULE 13D The Schedule 13D relating to shares of Common Stock, par value $0.01 per share ("Common Stock"), of Craftmade International, Inc., a Delaware corporation ("Company"), as filed by Neall W. Humphrey and Leslie D. Humphrey (collectively, "Humphrey"), is hereby amended as set forth below. Unless otherwise indicated, all terms referred to herein shall have the meaning as set forth in the Schedule 13D. ITEM 4. PURPOSE OF THE TRANSACTION. Item 4 is hereby amended by adding the following thereto: Mr. Humphrey is a director of the Company and the President of Trade Source International, Inc., a wholly-owned subsidiary of the Company. The Voting Agreement terminated pursuant to its terms on July 1, 2001. The Escrow Agreement terminated pursuant its terms on July 1, 2000, and the 39,697 Escrow Shares held thereunder were distributed to Humphrey in accordance with its terms. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Item 5 is hereby amended by adding the following thereto: (a) Aggregate Number and Percentage of Shares Beneficially Owned by Humphrey: 503,150 shares; 8.5% (b) 1. Shares that Humphrey has sole power to vote or direct vote: -0- 2. Shares that Humphrey has shared power to vote or direct vote: 503,150 3. Shares that Humphrey has sole power to dispose or direct the disposition: -0- 4. Shares that Humphrey has shared power to dispose or direct the disposition: 503,150 (c) Since October 23, 1998, the date of the most recent filing by Humphrey on Schedule 13D, Humphrey has sold Common Stock in the manner, in the amounts, on the dates and at the prices set forth on Schedule 1 attached hereto and incorporated by reference. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO THE SECURITIES OF THE ISSUER. The Voting Agreement terminated pursuant to its terms on July 1, 2001. The Escrow Agreement terminated pursuant its terms on July 1, 2000, and the 39,697 Escrow Shares held thereunder were distributed to Humphrey in accordance with its terms. Page 3 of 5 Pages SIGNATURE After reasonable inquiry to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 14, 2002 /s/ Neall W. Humphrey --------------------------- Neall W. Humphrey /s/ Leslie D. Humphrey --------------------------- Leslie D. Humphrey Page 4 of 5 Pages SCHEDULE 1 Humphrey has engaged in the following transactions in Common Stock since October 23, 1998, the date of the most recent filing by Humphrey on Schedule 13D.
Where and How Transaction Date Number of Shares Price Per Share Transaction was Effected ---------------- ---------------- --------------- ------------------------ November 21, 2000 5,000 N/A(1) Private transaction August 21, 2001 34,000 $14.00 Open market transaction October 25, 2001 7,000 N/A(1) Private transaction December 4, 2001 2,100 $12.35 Open market transaction December 5, 2001 17,900 $12.44 Open market transaction December 7, 2001 17,000 $12.84 Open market transaction December 10, 2001 7,000 $14.02 Open market transaction December 18, 2001 2,300 N/A(1) Private transaction
(1) These shares were gifted by Humphrey to a third party. Page 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----