-----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, CzkrhAxjiTCyazJjW+b/wFStLOIDX4AEe/EN7lv/FXaL8tbh4jRa0bl7AaTYX9ZJ mIxlOaDAi2DcCfrt3eKZZQ== 0000950134-03-013146.txt : 20031001 0000950134-03-013146.hdr.sgml : 20031001 20030930173629 ACCESSION NUMBER: 0000950134-03-013146 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20031001 GROUP MEMBERS: LESLIE D HUMPHREY 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: 03918509 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 d09277a3sc13dza.txt AMENDMENT NO. 3 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) 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) September 11, 2003 --------------------------------------- (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 [ ]. 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 - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Neall W. Humphrey 1 Leslie D. Humphrey - -------------------------------------------------------------------------------- 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. 2 - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- SOURCE OF FUNDS 4 Not applicable - -------------------------------------------------------------------------------- CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)[ ] 5 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States of America - -------------------------------------------------------------------------------- NUMBER OF SOLE VOTING POWER SHARES BENEFICIALLY 7 -0- OWNED BY --------------------------------------------------------- EACH REPORTING SHARED VOTING POWER PERSON WITH 8 417,270 --------------------------------------------------------- SOLE DISPOSITIVE POWER 9 -0- --------------------------------------------------------- SHARED DISPOSITIVE POWER 10 417,270 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 417,270 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] 12 - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 7.6% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON 14 IN; IN - -------------------------------------------------------------------------------- AMENDMENT NO. 3 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 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: 417,270 shares; 7.6% (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: 417,270 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: 417,270 (c) Since October 23, 1998, the date of the initial 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. Page 3 of 5 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: September 16, 2003 /s/ Neall W. Humphrey ------------------------------------ Neall W. Humphrey /s/ Leslie D. Humphrey ------------------------------------ Leslie D. Humphrey Page 4 of 5 SCHEDULE 1 Humphrey has engaged in the following transactions in Common Stock since October 23, 1998, the date of the initial filing by Humphrey on Schedule 13D.
Where and How Transaction was Transaction Date Number of Shares Price Per Share Effected ---------------- ---------------- --------------- ------------------- December 6, 1999 5,000 N/A (1) Private transaction November 21, 2000 5,000 N/A (1) Private transaction September 28, 2001 10,000 $12.75 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 March 1, 2002 300 $16.10 Open market transaction March 4, 2002 5,700 $16.19 Open market transaction March 5, 2002 1,100 $16.10 Open market transaction March 8, 2002 2,900 $16.35 Open market transaction March 11, 2002 5,130 $16.60 Open market transaction March 27, 2002 767 $16.82 Open market transaction March 28, 2002 7,700 $16.73 Open market transaction May 15, 2002 1,100 $16.00 Open market transaction May 16, 2002 4,600 $16.00 Open market transaction May 17, 2002 1,300 $16.00 Open market transaction October 31, 2002 7,000 N/A (1) Private transaction November 4, 2002 4,000 $14.14 Open market transaction November 5, 2002 3,400 $14.59 Open market transaction November 6, 2002 400 $14.67 Open market transaction March 25, 2003 400 $14.41 Open market transaction April 24, 2003 4,005 $14.65 Open market transaction April 25, 2003 5,595 $14.65 Open market transaction May 8, 2003 6,100 $14.98 Open market transaction May 9, 2003 3,383 $15.01 Open market transaction May 19, 2003 7,700 $16.25 Open market transaction May 20, 2003 7,100 $16.23 Open market transaction May 21, 2003 4,677 $16.26 Open market transaction May 22, 2003 523 $16.25 Open market transaction June 23, 2003 2,700 $17.08 Open market transaction June 27, 2003 7,300 $17.49 Open market transaction September 11, 2003 911 $22.55 Open market transaction September 12, 2003 2,500 $22.04 Open market transaction September 15, 2003 1,989 $22.09 Open market transaction September 16, 2003 4,600 $22.17 Open market transaction
(1) These shares were gifted by Humphrey to a third party. Page 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----