-----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, HEGDDAoN5orUQ3yqHo7I9xSI9Y+VGa9Y1Wci3NCwcM+7mmfxqOx+NcgxpPq85EOs f3AXxBlmyPuJcJQ2mX25aQ== 0001047469-03-003147.txt : 20030129 0001047469-03-003147.hdr.sgml : 20030129 20030129171914 ACCESSION NUMBER: 0001047469-03-003147 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20030129 GROUP MEMBERS: ALPS INVESTMENTS LLC GROUP MEMBERS: CAMPBELL ASSOCIATES GROUP MEMBERS: DANIEL H. CASE III LIVING TRUST U/A DATED 7/17/00 GROUP MEMBERS: DONALD M. CAMPBELL GROUP MEMBERS: DONALD M. CAMPBELL MONEY PURCHASE PENSION PLAN GROUP MEMBERS: ESTATE OF DONALD H. CASE III GROUP MEMBERS: GUARANTY FINANCE MANAGEMENT, LLC GROUP MEMBERS: HAMBRECHT & QUIST GROUP GROUP MEMBERS: HAMBRECHT & QUIST GUARANTY FINANCE, LLC GROUP MEMBERS: LAURENCE L. SPITTERS GROUP MEMBERS: MICHAEL D. FULTON AND KATHERYN E. COLE GROUP MEMBERS: STACEY B. CASE LIVING TRUST SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GOODRICH PETROLEUM CORP CENTRAL INDEX KEY: 0000943861 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 760466193 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44491 FILM NUMBER: 03530505 BUSINESS ADDRESS: STREET 1: 815 WALKER STREET 2: SUITE 1040 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7137809494 MAIL ADDRESS: STREET 1: 815 WALKER STREET 2: SUITE 1040 CITY: HOUSTON STATE: TX ZIP: 77002 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HAMBRECHT & QUIST CALIFORNIA CENTRAL INDEX KEY: 0001133803 IRS NUMBER: 942856927 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: ONE BUSH ST CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4154393000 MAIL ADDRESS: STREET 1: ONE BUSH ST CITY: SAN FRANCISCO STATE: CA ZIP: 94104 SC 13D/A 1 a2101860zsc13da.htm SC 13D/A

 

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 


 

SCHEDULE 13D
(Rule 13d-101)

 

 

Under the Securities Act of 1934
(Amendment No. 4)*

 

GOODRICH PETROLEUM CORPORATION

(Name of Issuer)

 

Common Stock, par value $0.20 per share

(Title of Class of Securities)

 

382410-10-8

(CUSIP Number)

 

Steven N. Machtinger

560 Mission Street

San Francisco, CA 94105

(415) 315-7800

(Name, Address and Telephone Number of Person Authorized

to Receive Notices and Communications)

 

January 16, 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 Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box
ý.

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 the disclosures provided in a prior cover page.

 

The information required in 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).

 

 

 

 

1



 

CUSIP NO. 382410—10—8

 

13 D

 

Page 2 of 17 Pages

 

 

 

1

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

 

Alps Investments LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ý
(b)
o

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

OO

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

N/A

o

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Virginia

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

1,544,341

8

SHARED VOTING POWER

 

0

9

SOLE DISPOSITIVE POWER

 

1,544,341

10

SHARED DISPOSITIVE POWER

 

0

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,751,470*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

33.2%*

14

TYPE OF REPORTING PERSON

 

IV

*  See Item 5 herein.



 

CUSIP NO. 382410—10—8

13 D

Page 3 of 17 Pages

 

 

1

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

 

Campbell Associates

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ý
(b)
o

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

OO

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

N/A

o

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Nevada

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

0

8

SHARED VOTING POWER

 

2,442

9

SOLE DISPOSITIVE POWER

 

0

10

SHARED DISPOSITIVE POWER

 

2,442

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,751,470*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

33.2%*

14

TYPE OF REPORTING PERSON

 

PN

*  See Item 5 herein.



 

CUSIP NO. 382410—10—8

13 D

Page 4 of 17 Pages

 

 

1

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

 

Donald M.Campbell Money Purchase Pension Plan

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ý
(b)
o

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

OO

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

N/A

o

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

USA

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

0

8

SHARED VOTING POWER

 

262,629

9

SOLE DISPOSITIVE POWER

 

0

10

SHARED DISPOSITIVE POWER

 

262,629

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,751,470*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

33.2%*

14

TYPE OF REPORTING PERSON

 

PN

*  See Item 5 herein.



 

CUSIP NO. 382410—10—8

13 D

Page 5 of 17 Pages

 

 

1

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

 

Daniel H. Case III Living Trust U/A Dated 7/17/00

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ý
(b)
o

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

OO

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

N/A

o

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

USA

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

516,286

8

SHARED VOTING POWER

 

0

9

SOLE DISPOSITIVE POWER

 

516,286

10

SHARED DISPOSITIVE POWER

 

0

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,751,470*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

33.2%*

14

TYPE OF REPORTING PERSON

 

OO

*  See Item 5 herein.



 

CUSIP NO. 382410—10—8

13 D

Page 6 of 17 Pages

 

 

1

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

 

Estate of Daniel H. Case III

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ý
(b)
o

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

OO

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

N/A

o

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

USA

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

27,000

8

SHARED VOTING POWER

 

0

9

SOLE DISPOSITIVE POWER

 

27,000

10

SHARED DISPOSITIVE POWER

 

0

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,751,470*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

33.2%*

14

TYPE OF REPORTING PERSON

 

OO

*  See Item 5 herein.



 

CUSIP NO. 382410—10—8

13 D

Page 7 of 17 Pages

 

 

1

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

 

Stacey B. Case Living Trust

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ý
(b)
o

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

OO

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

N/A

o

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

USA

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

128,663

8

SHARED VOTING POWER

 

0

9

SOLE DISPOSITIVE POWER

 

128,663

10

SHARED DISPOSITIVE POWER

 

0

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,751,470*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

33.2%*

14

TYPE OF REPORTING PERSON

 

OO

*  See Item 5 herein.



 

CUSIP NO. 382410—10—8

13 D

Page 8 of 17 Pages

 

 

1

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

 

Michael D. Fulton and Katheryn E. Cole

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ý
(b)
o

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

OO

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

N/A

o

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

USA

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

0

8

SHARED VOTING POWER

 

869,507

9

SOLE DISPOSITIVE POWER

 

0

10

SHARED DISPOSITIVE POWER

 

869,507

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,751,470*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

33.2%*

14

TYPE OF REPORTING PERSON

 

IN

*  See Item 5 herein.



 

CUSIP NO. 382410—10—8

13 D

Page 9 of 17 Pages

 

 

1

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

 

Laurence L. Spitters

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ý
(b)
o

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

OO

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

N/A

o

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

USA

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

320,452

8

SHARED VOTING POWER

 

0

9

SOLE DISPOSITIVE POWER

 

320,452

10

SHARED DISPOSITIVE POWER

 

0

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,751,470*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

33.2%*

14

TYPE OF REPORTING PERSON

 

IN

*  See Item 5 herein.



 

CUSIP NO. 382410—10—8

13 D

Page 10 of 17 Pages

 

 

1

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

 

Hambrecht & Quist California

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ý
(b)
o

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

OO

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

N/A

o

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

California

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

0

8

SHARED VOTING POWER

 

2,786,632

9

SOLE DISPOSITIVE POWER

 

0

10

SHARED DISPOSITIVE POWER

 

2,786,632

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,751,470*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

33.2%*

14

TYPE OF REPORTING PERSON

 

CO

*  See Item 5 herein.



 

CUSIP NO. 382410—10—8

13 D

Page 11 of 17 Pages

 

 

1

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

 

Hambrecht & Quist Group

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ý
(b)
o

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

OO

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

N/A

o

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

0

8

SHARED VOTING POWER

 

2,786,632

9

SOLE DISPOSITIVE POWER

 

0

10

SHARED DISPOSITIVE POWER

 

2,786,632

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,751,470*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

33.2%*

14

TYPE OF REPORTING PERSON

 

CO

*  See Item 5 herein.



 

CUSIP NO. 382410—10—8

13 D

Page 12 of 17 Pages

 

 

1

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

 

Hambrecht & Quist Guaranty Finance, LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ý
(b)
o

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

OO

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

N/A

o

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

California

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

0

8

SHARED VOTING POWER

 

2,786,632

9

SOLE DISPOSITIVE POWER

 

0

10

SHARED DISPOSITIVE POWER

 

2,786,632

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,751,470*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

33.2%*

14

TYPE OF REPORTING PERSON

 

OO

*  See Item 5 herein.



 

CUSIP NO. 382410—10—8

13 D

Page 13 of 17 Pages

 

 

1

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

 

Donald M. Campbell

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ý
(b)
o

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

PF, OO

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

N/A

o

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

293,518*

8

SHARED VOTING POWER

 

3,051,703*

9

SOLE DISPOSITIVE POWER

 

293,518*

10

SHARED DISPOSITIVE POWER

 

3,051,703*

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,751,470*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

33.2%*

14

TYPE OF REPORTING PERSON

 

IN

*  See Item 5 herein.



 

CUSIP NO. 382410—10—8

13 D

Page 14 of 17 Pages

 

 

1

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities only)

 

Guaranty Finance Management, LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ý
(b)
o

3

SEC USE ONLY

 

 

4

SOURCE OF FUNDS

 

OO

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)

 

N/A

o

6

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

0

8

SHARED VOTING POWER

 

2,786,632

9

SOLE DISPOSITIVE POWER

 

0

10

SHARED DISPOSITIVE POWER

 

2,786,632

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,751,470*

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

o

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

33.2%*

14

TYPE OF REPORTING PERSON

 

OO

*  See Item 5 herein.



 

SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C.
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934

Introduction.

This Amendment No. 4 (“Amendment No. 3”) to Schedule 13D is filed by Alps Investments LLC, a Virginia limited liability company (“Alps”); Daniel H. Case III Living Trust U/A Dated 7/17/00 (the “D. Case Trust”); Estate of Daniel H. Case III (the “D. Case Estate”); Stacey B. Case Living Trust (the “S. Case Trust”); Michael D. Fulton & Katheryn E. Cole (“Fulton & Cole”); Laurence L. Spitters (“Spitters”); Campbell Associates, a Nevada family partnership (“Campbell Associates”); Delaware Charter Guaranty Trust Co., Custodian for Donald M. Campbell Money Purchase Pension Plan (the “Plan”); Donald M. Campbell (“Campbell”); Hambrecht & Quist Group, a Delaware corporation (“H&Q Group”), Hambrecht & Quist California, a California corporation (“H&Q California”); Hambrecht & Quist Guaranty Finance LLC, a California limited liability company (“H&Q Guaranty Finance”); and Guaranty Finance Management, LLC, a Delaware limited liability company (“Guaranty Finance Management”, and, together with Alps, the D. Case Trust, the D. Case Estate, the S. Case Trust, Fulton & Cole, Spitters, Campbell Associates, the Plan, Campbell, H&Q Group, H&Q California and H&Q Guaranty Finance, the “Reporting Persons”).  This Amendment No. 4 amends the Original Schedule 13D (the “Original Schedule 13D”) filed with the Securities and Exchange Commission (the “SEC”) on October 15, 1999 by certain of the Reporting Persons, as amended by Amendment No. 1 to Schedule 13D filed with the SEC on September 5, 2002 by H&Q Group, H&Q California, H&Q Guaranty Finance, Guaranty Finance Management and Campbell (“Amendment No. 1”), as amended by Amendment No. 2 to Schedule 13D filed with the SEC on October 9, 2002 by H&Q Group, H&Q California, H&Q Guaranty Finance, Guaranty Finance Management and Campbell (“Amendment No. 2”), as amended by Amendment No. 3 to Schedule 13D filed with the SEC on January 23, 2003 by the Reporting Persons (“Amendment No. 3”).

On February 12, 2002, Alps filed Amendment No. 5 to its Statement on Schedule 13G (as amended to date, the “Alps Schedule 13G”).  On February 13, 2002, Fulton & Cole filed Amendment No. 5 to their Statement on Schedule 13G (as amended to date, the “Fulton & Cole Schedule 13G”).  The Alps Schedule 13G and the Fulton & Cole Schedule 13G are incorporated by reference herein.

All capitalized terms used herein but not otherwise defined herein shall have the meanings given to them in Amendment No. 1.  The Original Schedule 13D, as amended by Amendment No. 1, Amendment No. 2 and Amendment No. 3 (the “Schedule 13D”) is hereby amended as follows:

Item 1.    Security and Issuer.

No change since Amendment No. 3 (“No Change”).

Item 2.    Identity and Background.

No Change.

Item 3.    Source and Amount of Funds or Other Consideration.

No Change.

Item 4.    Purpose of Transaction.

No Change.

 

15



 

Item 5.    Interest in Securities of Issuer.

No Change, except that Spitters inadvertently failed to list on his signature page to the Agreement 109,560 shares of Common Stock beneficially owned by him as a result of his ownership of warrants of the Issuer.

Accordingly, the following chart amends and restates the chart in Item 5 in Amendment No. 3 and the related disclosure:

Reporting Person

 

Sole Power(1)

to Vote

 

Shared Power(1)

to Vote

 

Sole Power(1)

to Dispose

 

Shared Power(1)

To Dispose

 

Percentage(1)

Of Class

(not as a Group)

 

Aggregate(2)(3)

 Beneficial

 Ownership

 

Percentage(2) (3) Of Class

(as a Group)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Alps

 

1,544,341

 

0

 

1,544,341

 

0

 

8.4%

 

6,751,470

 

33.2%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

D. Case Trust

 

516,286

 

0

 

516,286

 

0

 

2.9%

 

6,751,470

 

33.2%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

D. Case Estate

 

27,000

 

0

 

27,000

 

0

 

0.15%

 

6,751,470

 

33.2%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

S. Case Trust

 

128,663

 

0

 

128,663

 

0

 

0.72%

 

6,751,470

 

33.2%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Fulton & Cole

 

0

 

869,507

 

0

 

869,507

 

4.8%

 

6,751,470

 

33.2%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Spitters

 

320,452

 

0

 

320,452

 

0

 

1.8%

 

6,751,470

 

33.2%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Campbell Associates

 

0

 

2,442

 

0

 

2,442

 

0.01%

 

6,751,470

 

33.2%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

H&Q Group

 

0

 

2,786,632(3)

 

0

 

2,786,632(3)

 

14.6%

 

6,751,470

 

33.2%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

H&Q California

 

0

 

2,786,632(3)

 

0

 

2,786,632(3)

 

14.6%

 

6,751,470

 

33.2%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

H&Q Guaranty Finance

 

0

 

2,786,632(3)

 

0

 

2,786,632(3)

 

14.6%

 

6,751,470

 

33.2%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Campbell

 

293,518

 

3,051,703(3)(4)

 

293,518

 

3,051,703(3)(4)

 

18.5%

 

6,751,470

 

33.2%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Guaranty Finance Management

 

0

 

2,786,632(3)

 

0

 

2,786,632(3)

 

14.6%

 

6,751,470

 

33.2%

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


(1)   Calculated in accordance with Rule 13d-3 of the Exchange Act, excluding shares owned beneficially solely because of the formation of a Group.

(2)   Calculated in accordance with Rule 13d-3 of the Exchange Act, including shares owned beneficially solely because of the formation of a Group.

(3)   Includes shares of Common Stock issuable upon the conversion of the Issuer’s Series A Preferred Stock, which Common Stock is excluded from the Group Shares.

(4)   Includes shares of Common Stock held in the name of Campbell Associates and Delaware Charter Guaranty & Trust Co., Custodian for the Plan.

 

 

16



 

Item 6.           Contracts, Arrangements, Understandings or Relationships with Respect to Securities of Issuer.

No Change, except for the matters disclosed in Item 5 herein.

Item 7.    Material to be Filed as Exhibits.

The following exhibits to this Statement on Schedule 13D are filed herewith:

1.             Joint Filing Undertaking as required by Rule 13d-1(k).

2.             Agreement, dated as of January 16, 2003, by and among Alps, Campbell Associates, the Plan, the D. Case Trust, the D. Case Estate, the S. Case Trust, Fulton & Cole, H&Q Guaranty Finance and Spitters (with corrected signature page from Spitters).

 

17



 

SIGNATURE

Each party, after reasonable inquiry and to the best of its knowledge and belief, certifies that the information set forth in this statement is true, complete and correct.

Dated: January 28, 2003

HAMBRECHT & QUIST GROUP

 

 

By:

/s/ Steven N. Machtinger

Name:     Steven N. Machtinger

Title:       Vice President

 

 

 

HAMBRECHT & QUIST CALIFORNIA

 

 

By:

/s/ Steven N. Machtinger

Name:     Steven N. Machtinger

Title:       General Counsel

 

 

HAMBRECHT & QUIST GUARANTY FINANCE, LLC

 

 

By:

/s/ David Golden

Name:     David Golden

Title:       Member of Management Committee

 

 

 



 

 

 

 

 

 

/s/ Donald M. Campbell

Donald M. Campbell

 

 

 

 

 

GUARANTY FINANCE MANAGEMENT, LLC

 

 

 

 

 

 

By:

/s/ Donald M. Campbell

 

 

Donald M. Campbell

 

Chief Executive Officer and Manager

 

 



 

ALPS INVESTMENT, LLC

 

 

 

 

 

 

By:

Ka Po'e Hana, LLC, its Manager

 

By:

/s/ Joseph Rymal

Title:

Vice President

 

CAMPBELL ASSOCIATES

 

 

 

 

 

 

By:

/s/ Donald M. Campbell

 

Name:

Donald M. Campbell

Title:

General Partner

 

DONALD M. CAMPBELL MONEY

PURCHASE PENSION PLAN

 

 

 

 

 

 

By:

/s/ Donald M. Campbell

 

 

Donald M. Campbell

 

Beneficiary

 

DANIEL H. CASE III LIVING TRUST U/A DATED 7/17/00

 

 

 

 

 

 

By:

Ka Po'e Hana, LLC, its Manager

 

By:

/s/ Joseph Rymal

Title:

Vice President

 

ESTATE OF DANIEL H. CASE

 

 

 

 

 

 

By:

Ka Po'e Hana, LLC, its Manager

 

By:

/s/ Joseph Rymal

Title:

Vice President

 

 

 

 

 

 



 

STACEY B. CASE LIVING TRUST

 

 

 

 

 

 

By:

Ka Po'e Hana, LLC, its Manager

 

By:

/s/ Joseph Rymal

Title:

Vice President

 

MICHAEL D. FULTON

 

 

 

 

 

 

By:

/s/ Michael D. Fulton

 

 

 

 

 

 

KATHERYN E. COLE

 

 

 

 

 

 

By:

/s/ Katheryn E. Cole

 

 

 

 

 

 

LAURENCE L. SPITTERS

 

 

 

 

 

 

By:

/s/ Donald M. Campbell

 

 

Donald M. Campbell

 

Attorney-in-Fact*

 

 

 

 

* Pursuant to a Power-of-Attorney granted to

Donald M. Campbell in the Agreement

 

 



EXHIBIT 1

 

JOINT FILING AGREEMENT

In accordance with Rule 13d-1(k) promulgated under the Exchange Act, the undersigned hereby agree to the joint filing with each other on behalf of each of them a statement on Schedule 13D with respect to the Common Stock deemed to be beneficially owned by each of them.

The undersigned further agree that each party hereto is responsible for the timely filing of such statement on Schedule 13D and any amendments thereto, and for the completeness or accuracy of the information concerning such party contained therein; provided, however, that no party is responsible for the completeness or accuracy of the information contained therein concerning any other party, unless such party knows or has reason to believe that such information is inaccurate.

IN WITNESS WHEREOF, the undersigned have executed this Joint Filing Agreement as of the 28th day of January, 2003.

 

 

HAMBRECHT & QUIST GROUP

 

 

 

 

 

 

By:

/s/ Steven N. Machtinger

 

Name:

     Steven N. Machtinger

Title:

     Vice President

 

HAMBRECHT & QUIST CALIFORNIA

 

 

 

 

 

 

 

By:

/s/ Steven N. Machtinger

 

Name:

     Steven N. Machtinger

Title:

     General Counsel

 

HAMBRECHT & QUIST GUARANTY FINANCE, LLC

 

 

 

 

 

 

 

By:

/s/ David Golden

 

Name:

     David Golden

Title:

     Member of Management Committee

 

 

 



 

 

 

 

 

 

 

/s/ Donald M. Campbell

 

Donald M. Campbell

 

 

 

 

GUARANTY FINANCE MANAGEMENT, LLC

 

 

 

 

 

 

By:

/s/ Donald M. Campbell

 

 

Donald M. Campbell

 

Chief Executive Officer and Manager

 

 



 

ALPS INVESTMENT, LLC

 

 

 

 

 

 

By:

Ka Po'e Hana, LLC, its Manager

 

By:

/s/ Joseph Rymal

Title:

Vice President

 

CAMPBELL ASSOCIATES

 

 

 

 

 

 

By:

/s/ Donald M. Campbell

 

Name:

Donald M. Campbell

Title:

General Partner

 

DONALD M. CAMPBELL MONEY

PURCHASE PENSION PLAN

 

 

 

 

 

 

By:

/s/ Donald M. Campbell

 

 

Donald M. Campbell

 

Beneficiary

 

 

DANIEL H. CASE III LIVING TRUST U/A DATED 7/17/00

 

 

 

 

 

 

By:

Ka Po'e Hana, LLC, its Manager

 

By:

/s/ Joseph Rymal

Title:

Vice President

 

 

ESTATE OF DANIEL H. CASE

 

 

 

 

 

 

By:

Ka Po'e Hana, LLC, its Manager

 

By:

/s/ Joseph Rymal

Title:

Vice President

 

 

 

 



 

STACEY B. CASE LIVING TRUST

 

 

 

 

By:

Ka Po'e Hana, LLC, its Manager

By:

/s/ Joseph Rymal

Title:

Vice President

 

MICHAEL D. FULTON

 

 

 

 

By:

/s/ Michael D. Fulton

 

 

 

 

 

KATHERYN E. COLE

 

 

 

 

By:

/s/ Katheryn E. Cole

 

 

 

 

 

LAURENCE L. SPITTERS

 

 

 

 

By:

/s/ Donald M. Campbell

 

Donald M. Campbell

 

Attorney-in-Fact*

 

 

 

 

* Pursuant to a Power-of-Attorney granted to

Donald M. Campbell in the Agreement

 

 

 




EX-2 3 a2101860zex-2.htm EXHIBIT 2

EXHIBIT 2

 

AGREEMENT

THIS AGREEMENT (this “Agreement”) is dated as of January 16, 2003 (the “Effective Date”), by and among the undersigned in their individual and/or fiduciary capacities as indicated below (each, a “Holder,” and collectively, the “Holders”).

WITNESSETH:

WHEREAS, each Holder owns or has an interest in the shares of the common stock, par value $0.20 per share (the “Common Stock”), of Goodrich Petroleum Corporation, a Delaware corporation (“Goodrich”);

WHEREAS, each Holder desires to sell its interest in the Common Stock set forth opposite such Holder’s name on the signature pages hereto (the “Disposition”) and has discussed preliminarily with one or more other Holders various other possibilities in that regard;

WHEREAS, the Holders recognize that a Disposition on a coordinated basis under circumstances designed to achieve a fair price for the Holders and to provide liquidity to the Holders is in the mutual best interest of the Company and its stockholders taken as a whole, including the Holders;

WHEREAS, the Holders recognize that the separate sale of the shares of Common Stock held by one or more of them could substantially interfere with the ability to sell any of such shares;

WHEREAS, prior to the Effective Date none of the Holders has agreed to act in concert with any other Holder or any other owner of the Common Stock, except as otherwise disclosed on a Statement on Schedule 13D filed with the Securities and Exchange Commission (“SEC”); and

WHEREAS, the Holders believe it to be in their best interest (i) to enter into this Agreement to coordinate their activities as to the Disposition and thus recognize that they may be deemed to have formed a “group,” as such term is used in Section 13(d) under the Securities and Exchange Act of 1934 (the “Exchange Act”), and (ii) to set forth certain other agreements related to the proposed Disposition.

NOW, THEREFORE, in consideration of the foregoing and the representations, warranties, covenants and agreements contained in this Agreement, the parties hereto agree as follows:

1.             No Agreement to Act in Concert Prior to the Effective Date.  Each Holder represents, warrants and otherwise agrees that prior to the Effective Date such Holder has not agreed (whether orally, in writing or otherwise) to act in concert with any other person for the purpose of acquiring, holding, voting or disposing of equity securities of Goodrich, except as

 

1



 

disclosed on a Statement on Schedule 13D filed with the SEC in accordance with the Exchange Act.

 

2.             Agreement to Act in Concert.  Each Holder agrees that as of the Effective Date (i) such Holder agrees to act together for the purpose of consummating the Disposition on terms and conditions acceptable to the Holders, (ii) such agreement may result in the formation of a “group” under Section 13(d) of the Exchange Act, and (iii) the group may be deemed to have acquired beneficial ownership, for purposes of Section 13(d) of the Exchange Act, as of the Effective Date, of all equity securities of Goodrich beneficially owned by the Holders.

3.             Fees and Expenses.  Each Holder agrees that it will pay the costs and expenses, including, without limitation, the fees, expenses and disbursements of counsel, incurred by or on behalf of the Holders in connection with the negotiation and consummation of the Disposition transactions contemplated herein, including, without limitation, the preparation and filing of any Statement on Schedule 13D or any amendment thereto, in accordance with the proportion that the number of shares of Common Stock listed next to such Holder’s name on the signature pages hereto bears to the total number of shares of Common Stock listed on the signature pages hereto.

4.             No Restrictions.  Nothing in this Agreement shall restrict the rights of any Holder to vote (including, without limitation, the right of any Holder to vote as he, she or it wishes on the Disposition), and nothing in this Agreement shall restrict the rights of any Holder to sell or dispose of shares of the Common Stock except as specifically set forth herein.

5.             Agreement Not to Sell, Etc.  Each Holder agrees that for 150 days from the date hereof, without the consent of Holders representing at least 75% of the shares of Common Stock subject to this Agreement at the time, he, she or it will not, and will not agree or commit to (by the grant of options or otherwise), sell, transfer, assign or otherwise dispose of the Common Stock beneficially owned or hereafter acquired by him, her or it, or in which he, she or it has or hereafter acquires an interest, except

(a)   in a corporate transaction requiring the approval of the holders of a majority of the shares of outstanding Goodrich Common Stock and as to which the requisite approval of the Goodrich stockholders shall have been obtained;

(b)   pursuant to an offer to purchase not less than all outstanding shares of Common Stock (other than the shares owned by the offeror or offerors), which the Goodrich Board of Directors shall not have determined is inadequate or not in the best interests of the stockholders of the Company as a whole, and which an independent investment banker of national reputation as the Company may select, shall have determined to be fair and equitable to the Company’s stockholders from a financial point of view;

(c)   pursuant to an offer to purchase less than all outstanding shares of Common Stock; provided, that the offeror or offerors have entered into an agreement of merger or consolidation or similar agreement with the Company that has been approved by a majority of the Goodrich Board of Directors, and which is to be submitted to the stockholders of the Company for approval; or

 

2



 

(d)   by gift, will or pursuant to the laws of descent and distribution; provided, that any recipient of shares of Common Stock pursuant to a sale, transfer, assignment or disposition under clause (d) of this paragraph 5 shall be bound by this Agreement as if a signatory hereto.

6.             Beneficial Ownership.  As used in this Agreement, the phrases “beneficial ownership,” “beneficially owned” or phrases of similar import shall have the meanings ascribed to such phrases in accordance with Section 13 of the Exchange Act.

7.             Effectiveness.  This Agreement will become effective to each Holder upon the execution hereof by such Holder.

8.             Additional Parties.  It is recognized that other stockholders of Goodrich may wish to join this Agreement.  Any stockholder wishing to do so may do so by executing a counterpart copy of this Agreement and setting forth next to his, her or its signature the number of shares of Common Stock to which he or it has an interest.  The term “Holder” shall include any stockholder of Goodrich who becomes a party to this Agreement in accordance with the provisions of this paragraph 8.

9.             Remedies.  The Holders agree that legal remedies for breach of this Agreement will be inadequate and that this Agreement may be enforced by injunctive or other equitable relief.

10.           Binding Effect.  All authority herein conferred to agreed to be conferred by a Holder shall survive the death or incapacity of the Holder.  This Agreement shall inure to the benefit of, and be binding upon, each of the parties hereto and each of their respective heirs, personal representatives, successors and assigns.

11.           Notices.  All notices given pursuant to this Agreement shall be in writing and sent by registered or certified mail, return receipt requested, to the party or parties to be given such notice at his, her or its address set forth next to his, her or its signature hereto or to such other address as such party to be given notice may have communicated to the sending party, provided such communication is received.

12.           Counterparts.  This Agreement may be executed in any number of counterparts, all of which shall together constitute one and the same instrument.

13.           Governing Law.  This Agreement shall be governed by and construed in accordance with the laws of the State of Delaware.

14.           Amendments.  This Agreement may not be amended or modified, except by a writing duly and validly executed by each of the Holders.

15.           Capacity.  Each party to this Agreement, by his, her or its execution hereof, shall have signed and entered into the Agreement in all capacities set forth on the signature pages hereto.

 

3



 

16.           Filing Documents.  Each party to this Agreement, by his, her or its execution hereof appoints each of Donald M. Campbell or David Yao as his, her or its attorney-in-fact to sign any documents which any of said attorneys-in-fact believes may be required to be filed with any government agency as a result of this Agreement, including, without limitation, a Statement on Schedule 13D under the Exchange Act and all amendments to such Statements.  Each of the undersigned will provide the information to be used in this connection.

 

[Signatures on following pages]

 

4



 

IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the Effective Date in their respective capacities set forth below:

 

Name and Capacity

In Which Executing

 

Address

 

Number of Shares of Common Stock
(including beneficially owned shares)
Subject to this Agreement

 

 

 

 

 

 

 

 

 

 

 

 

 

Goodrich Petroleum Common Stock:

 

1,016,341

 

Alps Investment LLC

 

See Below

 

Goodrich Petroleum .9375 Warrants:

 

480,000

 

 

 

 

 

Goodrich Petroleum 1.50 Warrants:

 

48,000

 

 

 

 

 

 

 

 

 

 

 

By:

 

Alps Investment LLC

 

 

 

 

A Virginia Limited Liability Company

 

 

 

 

PMB 249

 

 

 

 

1718 M Street, NW

 

 

 

 

Washington, DC 20036

 

 

Its:

 

Manager

 

 

 

 

 

 

 

By:

 

/s/ John H. Agee

 

 

Name:

 

John H. Agee

 

 

Its:

 

President/COO

 

 

5



 

IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the Effective Date in their respective capacities set forth below:

 

Name and Capacity

In Which Executing

 

Address

 

Number of Shares of Common Stock
(including beneficially owned shares)
Subject to this Agreement

 

 

 

 

 

 

 

 

 

Donald M. Campbell
General Partner
Campbell Associates

 

Unit 31 550 Davis
Street San Francisco,
CA 94111

 

Common Stock

 

2,442

 

 

 

 

 

 

 

 

 

 

CAMPBELL ASSOCIATES

 

 

 

 

 

 

By:

 

/s/ Donald M. Campbell

 

 

 

 

 

Donald M. Campbell

 

 

 

 

 

General Partner

 

 

 

 

6



 

IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the Effective Date in their respective capacities set forth below:

 

Name and Capacity

In Which Executing

 

Address

 

Number of Shares of Common Stock
(including beneficially owned shares)
Subject to this Agreement

 

 

 

 

 

 

 

 

 

Donald M. Campbell

 

Unit 31

 

Common Stock

 

207,644

 

 

 

550 Davis Street

 

Warrants @ $0.9375

 

60,750

 

 

 

San Francisco, CA 94111

 

Warrants @ $1.50

 

6,075

 

 

 

 

 

Director Options

 

10,000

 

 

 

By:

 

/s/ Donald M. Campbell

 

 

 

 

     Donald M. Campbell

 

 

7



 

IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the Effective Date in their respective capacities set forth below:

Name and Capacity

In Which Executing

 

Address

 

Number of Shares of Common Stock
(including beneficially owned shares)
Subject to this Agreement

 

 

 

 

 

 

 

 

 

 

 

Donald M. Campbell
Beneficiary
Donald M. Campbell Money
Purchase Pension Plan

 

Unit 31
550 Davis Street
San Francisco, CA 94111

 

Common Stock

 

197,454

 

 

Warrants @ $0.9375

 

59,250

 

 

Warrants @ $1.50

 

5,925

 

 

 

By:

/s/ Donald M. Campbell

 

 

 

 

     Donald M. Campbell

 

 

 

 

     Beneficiary

 

 

 

8



 

IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the Effective Date in their respective capacities set forth below:

 

Name and Capacity

In Which Executing

 

Address

 

Number of Shares of Common Stock
(including beneficially owned shares)
Subject to this Agreement

 

 

 

 

 

 

 

 

 

Daniel H. Case III

Living Trust

 U/A Dated 7/17/00

 

See Below

 

Goodrich Petroleum Common Stock:

 

340,297

 

 

 

Goodrich Petroleum .9375 Warrants:

 

159,990

 

 

 

Goodrich Petroleum 1.50 Warrants:

 

15,999

 

 

 

 

 

 

 

 

 

 

 

By:

 

Daniel H. Case III Living Trust U/A Dated 7/17/00

 

 

 

 

 

 

 

By:

 

Ka Po’e Hana LLC

 

 

 

 

A Virginia Limited Liability Company

 

 

 

 

PMB 249

 

 

 

 

1718 M Street, NW

 

 

 

 

Washington, DC 20036

 

 

Its:

 

Manager

 

 

 

 

 

 

 

By:

 

/s/ John H. Agee

 

 

Name:

 

John H. Agee

 

 

Its:

 

President/COO

 

 

 

9



 

IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the Effective Date in their respective capacities set forth below:

 

Name and Capacity

In Which Executing

 

Address

 

Number of Shares of Common Stock
(including beneficially owned shares)
Subject to this Agreement

 

 

 

 

 

 

 

 

 

Estate of Daniel H. Case III

 

See Below

 

Goodrich Petroleum Common Stock:

 

27,000

 

 

 

 

 

 

 

 

 

 

 

By:

 

Estate of Daniel H. Case III

 

 

 

 

 

 

 

By:

 

Ka Po’e Hana LLC

 

 

 

 

A Virginia Limited Liability Company

 

 

 

 

PMB 249

 

 

 

 

1718 M Street, NW

 

 

 

 

Washington, DC 20036

 

 

Its:

 

Manager

 

 

 

 

 

 

 

By:

 

/s/ John H. Agee

 

 

Name:

 

John H. Agee

 

 

Its:

 

President/COO

 

 

10



 

IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the Effective Date in their respective capacities set forth below:

 

Name and Capacity

In Which Executing

 

Address

 

Number of Shares of Common Stock
(including beneficially owned shares)
Subject to this Agreement

 

 

 

 

 

 

 

 

 

Stacey B. Case
Living Trust

 

See Below

 

Goodrich Petroleum Common Stock:

 

84,674

 

 

 

Goodrich Petroleum .9375 Warrants:

 

39,990

 

 

 

Goodrich Petroleum 1.50 Warrants:

 

3,999

 

 

 

 

 

 

 

 

 

 

 

By:

 

Stacey B. Case Living Trust

 

 

 

 

 

 

 

By:

 

Ka Po’e Hana LLC

 

 

 

 

A Virginia Limited Liability Company

 

 

 

 

PMB 249

 

 

 

 

1718 M Street, NW

 

 

 

 

Washington, DC 20036

 

 

Its:

 

Manager

 

 

 

 

 

 

 

By:

 

/s/ Joseph R. Rymal

 

 

Name:

 

Joseph R. Rymal

 

 

Its:

 

VP/Investments

 

 

11



 

IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the Effective Date in their respective capacities set forth below:

 

Name and Capacity

In Which Executing

 

Address

 

Number of Shares of Common Stock
(including beneficially owned shares)
Subject to this Agreement

 

 

 

 

 

 

 

 

 

Donald M. CampbellChief Executive Officer

Guaranty Finance Management, LLC

Manager of Hambrecht & Quist

Guaranty Finance, LLC

 

560 Mission Street,

San Francisco, CA 94105

 

Common Stock

 

1,587,276

 

 

Warrants @ $0.9375

 

799,980

 

 

Warrants @ $1.00

 

280,000

 

 

 

Warrants @ $1.50

 

79,998

 

 

 

HAMBRECHT & QUIST GUARANTY
FINANCE, LLC

 

 

 

 

 

 

By:

 

Guaranty Finance Management, LLC, its manager

 

 

 

 

 

 

 

By:

 

/s/ Donald M. Campbell

 

 

 

 

 

Donald M. Campbell

 

 

 

 

 

Chief Executive Officer

 

 

 

12



 

IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the Effective Date in their respective capacities set forth below:

 

Name and Capacity

In WhichExecuting

 

Address

 

Number of Shares of Common Stock
(including beneficially owned shares)
Subject to this Agreement

 

 

 

 

 

 

 

 

 

 

 

 

/s/ Michael D. Fulton

 

 

 

 

 

Michael D. Fulton

 

35 – 10th Ave. W

 

 

 

 

 

Kirkland, WA 98033

 

Goodrich Petroleum Common (649,496 common shares)

 

 

 

 

 

Goodrich Petroleum $0.9375 Warrants (200,010 warrants)

 

 

 

 

 

Goodrich Petroleum $1.50 Warrants (20,001 warrants)

 

/s/ Katheryn E. Cole

 

 

 

 

 

Katheryn E. Cole

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

13



 

IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the Effective Date in their respective capacities set forth below:

 

Name and Capacity

In WhichExecuting

 

Address

 

Number of Shares of Common Stock
(including beneficially owned shares)
Subject to this Agreement

 

 

 

 

 

 

 

 

 

 

 

 

/s/ Laurence L. Spitters

 

746 Webster St.

 

210,892 shares

 

Laurence L. Spitters

 

Palo Alto, CA 94301

 

99,600 Warrants ($0.9375)

 

 

 

 

 

9,960 Warrants ($1.50)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

14




-----END PRIVACY-ENHANCED MESSAGE-----