|
(1)
|
Names
of Reporting Persons, I.R.S. Identification,
No.
of above Persons (entities only)
|
Jack
E. Golsen
|
|
|
(2)
|
Check
the Appropriate Box if a Member of a Group (See
Instructions)
|
(a) [
]
(b)
[X]
|
|
|
(3)
|
SEC
Use Only
|
||
|
(4)
|
Source
of Funds (See Instructions)
|
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
|
USA
|
|
|
|
(7)
|
Sole
Voting Power
|
432,362
|
|
|
Number
of Shares
|
(8) | Shared Voting Power |
3,436,781
|
|
|
Beneficially
|
|
|
|
|
|
Owned
by Each
|
(9)
|
Sole
Dispositive Power
|
432,362
|
|
|
Reporting
Person
|
||||
|
With:
|
(10)
|
Shared
Dispositive Power
|
3,436,781
|
|
|
(11)
|
Aggregate
Amount Beneficially Owned by Each Reporting Person
|
3,869,143
|
|
|
(12)
|
Check
if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
|
[X]
|
|
|
(13)
|
Percent
of Class Represented by Amount in Row (11)
|
23.18%
|
|
|
(14)
|
Type
of Reporting Person (See Instructions)
|
IN
|
|
(1)
|
Names
of Reporting Persons, I.R.S.
Identification
No.
of above Persons (entities only)
|
Sylvia
H. Golsen
|
|
|
(2)
|
Check
the Appropriate Box if a Member of a Group (See
Instructions)
|
(a)
[ ]
(b)
[X]
|
|
|
(3)
|
SEC
Use Only
|
||
|
(4)
|
Source
of Funds (See Instructions)
|
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
|
USA
|
|
|
(7)
|
Sole
Voting Power
|
-
|
||
|
Number
of Shares
|
(8) | Shared Voting Power |
3,436,781
|
|
|
Beneficially
|
|
|
|
|
|
Owned
by Each
|
(9)
|
Sole
Dispositive Power
|
-
|
|
|
Reporting
Person
|
||||
|
With:
|
(10)
|
Shared
Dispositive Power
|
3,436,781
|
|
|
(11)
|
Aggregate
Amount Beneficially Owned by Each Reporting Person
|
3,436,781
|
|
|
(12)
|
Check
if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
|
[X]
|
|
|
(13)
|
Percent
of Class Represented by Amount in Row (11)
|
20.59%
|
|
|
(14)
|
Type
of Reporting Person (See Instructions)
|
IN
|
|
(1)
|
Names
of Reporting Persons, I.R.S. Identification
No.
of above Persons (entities only)
|
SBL
Corporation
|
|
|
(2)
|
Check
the Appropriate Box if a Member of a Group (See
Instructions)
|
(a)
[ ]
(b)
[X]
|
|
|
(3)
|
SEC
Use Only
|
||
|
(4)
|
Source
of Funds (See Instructions)
|
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
|
Oklahoma
|
|
|
(7)
|
Sole
Voting Power
|
-
|
||
|
Number
of Shares
|
(8)
|
Shared
Voting Power
|
2,598,034
|
|
|
Beneficially
|
||||
|
Owned
by Each
|
(9)
|
Sole
Dispositive Power
|
-
|
|
|
Reporting
Person
|
||||
|
With:
|
(10)
|
Shared
Dispositive Power
|
2,598,034
|
|
|
(11)
|
Aggregate
Amount Beneficially Owned by Each Reporting Person
|
2,598,034
|
|
|
(12)
|
Check
if the Aggregate Amount in Row (11) Excludes Certain Shares
(See
Instructions)
|
[X]
|
|
|
(13)
|
Percent
of Class Represented by Amount in Row (11)
|
15.56%
|
|
|
(14)
|
Type
of Reporting Person (See Instructions)
|
CO
|
|
(1)
|
Names
of Reporting Persons, I.R.S. Identification
No.
of above Persons (entities only)
|
Golsen
Petroleum Corporation
|
|
|
(2)
|
Check
the Appropriate Box if a
Member of a Group (See Instructions)
|
(a)
[ ]
(b) [X]
|
|
|
(3)
|
SEC
Use Only
|
||
|
(4)
|
Source
of Funds (See Instructions)
|
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
|
Oklahoma
|
|
|
(7)
|
Sole
Voting Power
|
-
|
||
|
|
||||
|
Number
of Shares
|
(8)
|
Shared
Voting Power
|
396,758
|
|
|
Beneficially
|
||||
|
Owned
by Each
|
(9)
|
Sole
Dispositive Power
|
-
|
|
|
Reporting
Person
|
|
|||
|
With:
|
(10)
|
Shared
Dispositive Power
|
396,758
|
|
|
(11)
|
Aggregate
Amount Beneficially Owned by Each Reporting Person
|
396,758
|
|
|
(12)
|
Check
if the Aggregate Amount in Row (11) Excludes Certain Shares
(See
Instructions)
|
[
]
|
|
|
(13)
|
Percent
of Class Represented by Amount in Row (11)
|
2.38%
|
|
|
(14)
|
Type
of Reporting Person (See Instructions)
|
CO
|
|
(1)
|
Names
of Reporting Persons, I.R.S.
Identification
No.
of above Persons (entities only)
|
Barry
H. Golsen
|
|
|
(2)
|
Check
the Appropriate Box if a Member of a Group (See
Instructions)
|
(a)
[ ]
(b)
[X]
|
|
|
(3)
|
SEC
Use Only
|
||
|
(4)
|
Source
of Funds (See Instructions)
|
PF
|
|
|
(5)
|
Check
if Disclosure of Legal Proceedings is Required Pursuant to Items
2(d) or
2(e)
|
||
|
(6)
|
Citizenship
or Place of Organization
|
USA
|
|
|
(7)
|
Sole
Voting Power
|
377,889
|
||
|
|
||||
|
Number
of Shares
|
(8)
|
Shared
Voting Power
|
2,791,040
|
|
| Beneficially | ||||
|
Owned
by Each
|
(9)
|
Sole
Dispositive Power
|
377,889
|
|
|
Reporting
Person
|
|
|||
|
With:
|
(10)
|
Shared
Dispositive Power
|
2,791,040
|
|
|
(11)
|
Aggregate
Amount Beneficially Owned by Each Reporting Person
|
3,168,929
|
|
|
(12)
|
Check
if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
|
[X]
|
|
|
(13)
|
Percent
of Class Represented by Amount in Row (11)
|
18.98%
|
|
|
(14)
|
Type
of Reporting Person (See Instructions)
|
IN
|
|
(1)
|
Names
of Reporting Persons, I.R.S. Identification
No.
of above Persons (entities only)
|
Steven J. Golsen | |
|
(2)
|
Check
the Appropriate Box if a Member of a Group (See
Instructions)
|
(a)
[ ]
(b)
[X]
|
|
|
(3)
|
SEC
Use Only
|
||
|
(4)
|
Source
of Funds (See Instructions)
|
PF
|
|
|
(5)
|
Check
if Disclosure of Legal Proceedings is Required Pursuant to Items
2(d) or
2(e)
|
||
|
(6)
|
Citizenship
or Place of Organization
|
USA
|
|
|
(7)
|
Sole
Voting Power
|
295,165
|
||
|
|
||||
|
Number
of Shares
|
(8)
|
Shared
Voting Power
|
2,663,488
|
|
|
Beneficially
|
||||
|
Owned
by Each
|
(9)
|
Sole
Dispositive Power
|
295,165
|
|
|
Reporting
Person
|
|
|||
|
With:
|
(10)
|
Shared
Dispositive Power
|
2,663,488
|
|
|
(11)
|
Aggregate
Amount Beneficially Owned by Each Reporting Person
|
2,958,653
|
|
|
(12)
|
Check
if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
|
[X]
|
|
|
(13)
|
Percent
of Class Represented by Amount in Row (11)
|
17.72%
|
|
|
(14)
|
Type
of Reporting Person (See Instructions)
|
IN
|
|
(1)
|
Names
of Reporting Persons, I.R.S.
Identification
No.
of above Persons (entities only)
|
Linda Golsen Rappaport | |
|
(2)
|
Check
the Appropriate Box if a Member of a Group (See
Instructions)
|
(a)
[ ]
(b)
[X]
|
|
|
(3)
|
SEC
Use Only
|
||
|
(4)
|
Source
of Funds (See Instructions)
|
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
|
USA
|
|
|
(7)
|
Sole
Voting Power
|
82,552
|
||
|
|
||||
|
Number
of Shares
|
(8)
|
Shared
Voting Power
|
2,725,586
|
|
|
Beneficially
|
||||
|
Owned
by Each
|
(9)
|
Sole
Dispositive Power
|
82,552
|
|
|
Reporting
Person
|
|
|||
|
With:
|
(10)
|
Shared
Dispositive Power
|
2,725,586
|
|
|
(11)
|
Aggregate
Amount Beneficially Owned by Each Reporting Person
|
2,808,138
|
|
|
(12)
|
Check
if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
|
[X]
|
|
|
(13)
|
Percent
of Class Represented by Amount in Row (11)
|
16.82%
|
|
|
(14)
|
Type
of Reporting Person (See Instructions)
|
IN
|
|
(a)
|
each
10B5-1 Plan will terminate not later than the earlier of December
6, 2007,
or the date that all shares of Common Stock covered by such 10B5-1
Plan
have been sold in accordance with such
plan;
|
|
(b)
|
the
sale price of Common Stock sold under each 10B5-1 Plan will be
at a price
per share (before selling expenses) at or above $0.15 below market
price
or $15.00, whichever is higher;
|
|
(c)
|
all
sales will be made on the American Stock Exchange;
and
|
|
(d)
|
sales
of Common Stock under each 10B5-1 Plan will be made in the discretion
of
the Broker, subject to the terms and conditions of each 10B5-1
Plan.
|
|
(a)
|
The
following table sets forth as of the filing date of this Amendment
32 the
aggregate number and percentage of the class of Common Stock of the
Company identified pursuant to Item 1 beneficially owned by each
person
named in Item 2:
|
|
|
Person
|
Amount | Percent (10) | |
| Jack E. Golsen | 3,869,143 (1) (2) (6) (9) | 23.18% | ||
| Sylvia H. Golsen | 3,436,781 (1) (6) (7) | 20.59% | ||
| SBL | 2,598,034 (1) (9) | 15.56% | ||
| GPC | 396,758 (8) (9) | 2.38% | ||
| Barry H. Golsen | 3,168,929 (1) (3) (6) | 18.98% | ||
| Steven J. Golsen | 2,958,653 (1) (4) (6) | 17.72% | ||
| Linda Golsen Rappaport | 2,808,138 (1) (5) (6) | 16.82% | ||
| ____________________ |
|
(1)
|
The
amount shown includes (i) 1,512,099 shares held directly by SBL;
(ii)
250,000 shares that SBL has the right to acquire upon the conversion
of
1,000,000 shares of the Company's Series D Preferred owned of record
by SBL; (iii) 400,000 shares that SBL has the right to acquire upon
the
conversion of 12,000 shares of the Company's Series B Preferred owned
of record by SBL; (iv) 39,177 shares that SBL has the right to acquire
upon the conversion of 9,050 shares of the Company's
Class C, Series 2 Stock owned of record by SBL; and (v) 396,758 shares
beneficially owned by SBL's wholly owned subsidiary, GPC, which includes
(1) 133,333 shares that GPC has the right to acquire upon conversion
of
4,000 shares of Series B Preferred owned of record by GPC, and (2)
175,325
shares that GPC has the right to acquire upon conversion of 40,500
shares
of Class C, Series 2 Preferred owned of record by GPC. The relationship
between Jack E. Golsen, Sylvia H. Golsen, Barry H. Golsen, Steven
J.
Golsen, Linda Golsen Rappaport, SBL, and GPC is described in more
detail
in paragraph (b) of this Item 5.
|
|
(2)
|
The
amount shown includes (i) 25,000 shares held directly by Jack E.
Golsen;
(ii) 93,529 shares held indirectly by the Jack E. Golsen 1992 Revocable
Trust; (iii) 4,000 shares that Jack E. Golsen has the right to acquire
upon conversion of a promissory note, (iv) 133,333 shares that J.
Golsen has the right to acquire upon the conversion of 4,000 shares
of the
Series B Preferred Stock owned of record by the Jack E. Golsen 1992
Revocable Trust; (v) 176,500 shares that Jack E. Golsen may acquire
upon the exercise of Company nonqualified stock options; and
(vi) 838,747 shares owned by the Sylvia H. Golsen 1992 Revocable
Trust of which Sylvia H. Golsen is the
trustee.
|
|
(3)
|
The
amount shown does not include (i) 533 shares that Barry Golsen's
wife
owns, in which Barry Golsen disclaims beneficial ownership and (ii)
89,440
shares owned of record by the Barry H. Golsen 1992 Trust, of which
Barry
H. Golsen is the primary beneficiary, but of which Barry H. Golsen
has no
voting or dispositive control. Such amount does include (a) 311,639
shares
held directly by Barry H. Golsen; (b) 34,750 shares owned of record
by the
Amy G. Rappaport Trust No. J-1, of which Barry H. Golsen is a Co-Trustee;
(c) 30,704 shares owned of record by the Joshua B. Golsen Trust No.
J-1,
of which Barry H. Golsen is a Co-Trustee; (d) 35,638 shares owned
of
record by the Adam Z. Golsen Trust No. J-1, of which Barry H. Golsen
is a
Co-Trustee; (e) 28,638 shares owned of record by the Stacy L. Rappaport
Trust No. J-1, of which Barry H. Golsen is a Co-Trustee; (f) 35,638
shares
owned of record by the Michelle L. Golsen Trust No. J-1, of which
Barry H.
Golsen is a Co-Trustee; (g) 27,638 shares owned of record by the
Lori R.
Rappaport Trust No. J-1, of which Barry H. Golsen is a Co-Trustee;
and (h)
66,250 shares which Barry H. Golsen may acquire upon exercise of
nonqualified stock options.
|
|
(4)
|
The
amount shown does not include 84,440 shares owned of record by the
Steven
J. Golsen 1992 Trust, of which Steven J. Golsen is the primary
beneficiary, but of which Steven J. Golsen has no voting or dispositive
control. Such amount does include (i) 248,915 shares held directly
by
Steven J. Golsen; (ii) 34,750 shares owned of record by the Amy G.
Rappaport Trust No. J-1, of which Steven J. Golsen is a Co-Trustee;
(iii)
30,704 shares owned of record by the Joshua B. Golsen Trust No. J-1,
of
which Steven J. Golsen is a Co-Trustee; and (iv) 46,250 shares which
Steven J. Golsen may acquire upon exercise of nonqualified stock
options.
|
|
(5)
|
The
amount shown does not include 70,200 shares that Mrs. Rappaport's
husband
owns and 185,000 shares which Mrs. Rappaport's husband may acquire
upon
exercise of nonqualified stock options of the Company, for which
Mrs. Rappaport disclaims beneficial ownership. The amount shown does
not include 89,440 shares owned of record by the Linda F. Rappaport
1992
Trust, of which Linda F. Rappaport is the primary beneficiary, but
of
which Linda F. Rappaport has no voting or dispositive control. Such
amount
does include (i) 82,552 shares held directly by Linda F. Rappaport;(ii)
35,638 shares owned of record by the Adam Z. Golsen Trust No. J-1,
of
which Linda F. Rappaport is a Co-Trustee; (iii) 28,638 shares owned
of
record by the Stacy L. Rappaport Trust No. J-1, of which Linda F.
Rappaport is a Co-Trustee; (iv) 35,638 shares owned of record by
the
Michelle L. Golsen Trust No. J-1 of which Linda F. Rappaport is a
Co-Trustee; and (v) 27,638 shares owned of record by the Lori R.
Rappaport
Trust No. J-1, of which Linda F. Rappaport is a
Co-Trustee.
|
|
(6)
|
Jack
E. Golsen and Sylvia H. Golsen each disclaims beneficial ownership
of (i)
the shares of Common Stock owned of record by Barry H. Golsen, the
shares
that Barry H. Golsen has the right to acquire under the Company's
incentive stock options, and the shares considered beneficially owned
by
Barry H. Golsen as a result of his position as trustee of certain
trusts;
(ii) the shares owned of record by Steven J. Golsen, the shares that
Steven J. Golsen has the right to acquire under the Company's incentive
stock options, and the shares considered beneficially owned by Steven
J.
Golsen as a result of his position as trustee of certain trusts;
and (iii)
the shares owned of record by Linda Golsen Rappaport, and the shares
considered beneficially owned by Linda Golsen Rappaport as a result
of her
position as a trustee of certain trusts. Barry H. Golsen, Steven
J. Golsen
and Linda Golsen Rappaport disclaim beneficial ownership of the shares
beneficially owned by Jack E. Golsen and Sylvia H. Golsen, except
for
shares beneficially owned by SBL and
GPC.
|
|
(7)
|
The
amount shown does not include, and Sylvia H. Golsen disclaims beneficial
ownership of the shares listed in footnote (2) above as beneficially
owned
by Jack E. Golsen (other than the 838,747 shares held by the Sylvia
H.
Golsen 1992 Revocable Trust of which Sylvia H. Golsen is
trustee).
|
|
(8)
|
The
amount shown includes (i) 88,100 shares held directly by GPC, (ii)
133,333
shares that GPC has the right to acquire upon conversion of 4,000
shares
of the Company's Series B Preferred Stock owned of record by GPC,
and
(iii) 175,325 shares that GPC has the right to acquire upon conversion
of
40,500 shares of Class C, Series 2 Preferred owned of record by GPC.
The
relationship between Jack E. Golsen, Sylvia H. Golsen, Barry H. Golsen,
Steven J. Golsen, Linda Golsen Rappaport, SBL, and GPC is described
in
more detail in paragraph (b) of this Item
5.
|
|
(9)
|
Holders
of the Series B Preferred are entitled to one vote per share, and
holders
of the Series D Preferred are entitled to .875 votes per share. Both
vote
together with holders of Common Stock. The holders of the Class C,
Series
2 Preferred have no voting rights, except as required by law and
except
that such holders have the right to vote as a separate class to elect
two
directors, if the equivalent of six full quarterly dividends on the
Class
C, Series 2 Preferred are accrued and unpaid. This Class C, Series
2
Preferred voting right continues until all dividends due on such
shares
are paid in full. The amounts and percentages set forth in the table
reflect only the voting power of Common Stock into which the Series
B
Preferred, the Class C, Series 2 Preferred, and the Series D Preferred
are
convertible.
|
|
(10)
|
The
percentage ownership of each reporting person is based on 16,693,961
shares of Common Stock outstanding, as of November 30, 2006. Shares
of
Common Stock of the Company not outstanding, but which may be acquired
by
a reporting person during the next 60 days under options, warrants,
rights
or conversion privileges, are considered to be outstanding only for
the
purpose of computing the percentage of the class for such reporting
person, but are not deemed to be outstanding for the purpose of computing
the percentage of the class by any other
person.
|
|
(b)
|
The
following table sets forth, as of the filing date of this Amendment
32 for
each person and entity identified under paragraph (a), the number
of
shares of Common Stock as to which the person and entity has (1)
the sole
power to vote or direct the voting, (2) shared power to vote or direct
the
voting, (3) the sole power to dispose or to direct the disposition,
or (4)
shared power to dispose or to direct the
disposition:
|
|
Person
or Entity
|
Sole
Voting and Power of Disposition
|
Shared Voting
and Power of Disposition
|
||
| Jack E. Golsen | 432,632 (1) (5) (12) | 3,436,781 (2) (3) (5) | ||
| Sylvia H. Golsen | None | 3,436,781 (2) (3) (11) | ||
| SBL | None |
2,598,034
(2) (12)
|
||
| GPC | None | 396,758 (4) (12) | ||
| Barry H. Golsen | 377,889 (6) | 2,791,040 (2) (7) | ||
| Steven J. Golsen | 295,165 (8) | 2,663,488 (2) (9) | ||
| Linda Golsen Rappaport | 82,552 | 2,725,586 (2) (10) | ||
| ___________________ |
|
(1)
|
The
amount shown includes (a) 25,000 shares held directly by Jack E.
Golsen;
(b) 93,529 shares held indirectly by the Jack E. Golsen 1992 Revocable
Trust; (c) 4,000 shares that Jack E. Golsen has the right to acquire
upon
conversion of a promissory note; (d) 133,333 shares that J. Golsen
has the right to acquire upon the conversion of 4,000 shares of the
Series
B Preferred Stock owned of record by him; and (e) 176,500 shares
that Jack
E. Golsen may acquire upon the exercise of nonqualified stock
options.
|
|
(2)
|
See
footnote (1) under paragraph (a) of this Item
5.
|
|
(3)
|
The
amount shown includes 838,747 shares of Common Stock owned by the
Sylvia
H. Golsen 1992 Revocable Trust of which Sylvia H. Golsen is
trustee.
|
|
(4)
|
See
footnote (8) under paragraph (a) of this Item
5.
|
|
(5)
|
See
footnote (6) under paragraph (a) of this Item
5.
|
|
(6)
|
The
amount shown includes (a) 311,639 shares held directly by Barry H.
Golsen;
and (b) 66,250 shares which Barry H. Golsen may acquire upon exercise
of
nonqualified stock options of the
Company.
|
|
(7)
|
The
amount shown does not include 89,440 shares owned of record by the
Barry
H. Golsen 1992 Trust, of which Barry H. Golsen has no voting or
dispositive power and 533 shares that Barry Golsen's wife owns in
which
Barry Golsen disclaims beneficial ownership. Such amount does include
(a)
34,750 shares owned of record by the Amy G. Rappaport Trust No. J-1,
of
which Barry H. Golsen is a Co-Trustee; (b) 30,704 shares owned of
record
by the Joshua B. Golsen Trust No. J-1, of which Barry H. Golsen is
a
Co-Trustee; (c) 35,638 shares owned of record by the Adam Z. Golsen
Trust No. J-1, of which Barry H. Golsen is a Co-Trustee; (d) 28,638
shares
owned of record by the Stacy L. Rappaport Trust No. J-1, of which
Barry H.
Golsen is a Co-Trustee; (e) 35,638 shares owned of record by the
Michelle
L. Golsen Trust No. J-1, of which Barry H. Golsen is a Co-Trustee;
and (f)
27,638 shares owned of record by the Lori R. Rappaport Trust No.
J-1, of
which Barry H. Golsen is a
Co-Trustee.
|
|
(8)
|
The
amount shown includes (a) 248,915 shares held directly by Steven
J.
Golsen; and (b) 46,250 shares which Steven J. Golsen may acquire
upon
exercise of nonqualified stock options of the
Company.
|
|
(9)
|
The
amount shown does not include 84,440 shares owned of record by the
Steven
J. Golsen 1992 Trust, of which Steven J. Golsen has no voting or
dispositive power. Such amount includes (a) 34,750 shares owned of
record
by the Amy G. Rappaport Trust No. J-1, of which Steven J. Golsen
is a
Co-Trustee; and (b) 30,704 shares owned of record by the Joshua B.
Golsen
Trust No. J-1, of which Steven J. Golsen is a
Co-Trustee.
|
|
(10)
|
The
amount shown does not include 70,200 shares that Mrs. Rappaport's
husband
owns and 185,000 shares which Mrs. Rappaport's husband may acquire
upon
exercise of nonqualified stock options of the Company, for which
Mrs. Rappaport disclaims beneficial ownership. The amount shown does
not include 89,440 shares owned of record by the Linda F. Rappaport
1992
Trust, of which Linda F. Rappaport is the primary beneficiary, but
of
which Linda F. Rappaport has no voting or dispositive control. Such
amount
does include (i) 35,638 shares owned of record by the Adam Z. Golsen
Trust
No. J-1, of which Linda F. Rappaport is a Co-Trustee; (ii) 28,638
shares
owned of record by the Stacy L. Rappaport Trust No. J-1, of which
Linda F.
Rappaport is a Co-Trustee; (iii) 35,638 shares owned of record by
the
Michelle L. Golsen Trust No. J-1, of which Linda F. Rappaport is
a
|
|
(11)
|
See
footnotes (6) and (7) under paragraph (a) of this Item
5.
|
|
(12)
|
See
footnote (9) under paragraph (a) of this Item
5.
|
|
(c)
|
During
the past 60 days from the filing date of this report, the following
reporting persons effected transactions in the Common Stock, as
follows:
|
|
(d)
|
See
Item 6 below.
|
|
(e)
|
Not
applicable.
|
|
24.1
|
Powers
of Attorney executed by Barry H. Golsen, Steven J. Golsen, and Linda
Golsen Rappaport are filed as Exhibit 6 to Amendment No. 3 to the
Schedule
13D and are incorporated herein by
reference.
|
|
99.1
|
Agreement
of the reporting persons as to joint filing of this Schedule 13D,
is filed
as Exhibit 7 to Amendment No. 3 to the Schedule No. 13D and is
incorporated herein by reference.
|
|
99.2
|
Convertible
Note between the Company and Jack E. Golsen filed as Exhibit (a)
to the
original Schedule 13D and is incorporated herein by
reference.
|
|
99.3
|
Issuer's
Proxy Statement dated July 14, 1986 setting forth the terms of the
Company's Series B 12% Cumulative Convertible Preferred Stock is
filed as
Exhibit 1 to Amendment No. 1 to the Schedule 13D and is incorporated
herein by reference.
|
|
99.4
|
Stacy
L. Rappaport Trust No. J-1, is filed as Exhibit 14 to Amendment No.
13 to the Schedule 13D and is incorporated herein by reference.
The Joshua B. Golsen Trust No. J-1, Adam Z. Golsen Trust No.
J-1, Amy G. Rappaport Trust No. J-1, Lori R. Rappaport Trust No.
J-1 and
Michelle L. Golsen Trust No. J-1 are substantially similar to the
Stacy L.
Rappaport Trust No. J-1, except for the names of the trustees, and
copies
of the same will be supplied to the Commission upon
request.
|
|
99.5
|
Barry
H. Golsen 1992 Trust is filed as Exhibit 15 to Amendment No. 16 to
the
Schedule 13D and is incorporated herein by reference. The Steven
J. Golsen
1992 Trust and Linda F. Rappaport 1992 Trust are substantially similar
to
the Barry H. Golsen 1992 Trust, and copies of the same will be supplied
to
the Commission upon request.
|
|
99.6
|
Agreement
of Sylvia H. Golsen as to joint filing of this Schedule 13D is filed
as
Exhibit 15 to Amendment No. 18 and is incorporated herein by
reference.
|
|
99.7
|
Agreement
of SBL Corporation as to the joint filing of this Schedule 13D is
filed as
Exhibit 19 to Amendment No. 23, and is incorporated herein by
reference.
|
|
99.8
|
Shareholder's
Agreement, effective December 1, 1995, between Sylvia Golsen and
SBL
Corporation is filed as Exhibit 22 to Amendment No. 24 and is incorporated
herein by reference.
|
|
99.9
|
Shareholder's
Agreement, effective December 1, 1995, among Jack E. Golsen, Sylvia
Golsen
and SBL Corporation is filed as Exhibit 23 to Amendment No. 24 and
is
incorporated herein by reference.
|
|
99.10
|
Shareholder's
Agreement, effective December 1, 1995, among Barry H. Golsen, Sylvia
Golsen and SBL Corporation. The Shareholder's Agreement is substantially
similar to the Shareholder's Agreement filed as Exhibit 23 to Amendment
No. 24, and a copy of the same will be supplied to the Commission
upon
request.
|
|
99.11
|
Shareholder's
Agreement, effective December 1, 1995, among Steven J. Golsen, Sylvia
Golsen and SBL Corporation. The Shareholder's Agreement is substantially
similar to the Shareholder's Agreement filed as Exhibit 23 to Amendment
No. 24, and a copy of the same will be supplied to the Commission
upon
request.
|
|
99.12
|
Shareholder's
Agreement, effective December 1, 1995, among Linda F. Rappaport,
Sylvia
Golsen and SBL Corporation. The Shareholder's Agreement is substantially
similar to the Shareholder's Agreement filed as Exhibit 23 to Amendment
No. 24, and a copy of the same will be supplied to the Commission
upon
request.
|
|
99.13
|
Security
Agreement, dated December 12, 2003, executed by SBL Corporation in
favor
of Bank of the West, is attached as Exhibit 99.18 to
Amendment No. 28 and is incorporated herein by
reference.
|
|
99.14
|
Security
Agreement, dated December 12, 2003, executed by Linda F. Rappaport
in
favor of Bank of the West, is attached as Exhibit 99.19 to Amendment
No.
28 and is incorporated herein by
reference.
|
|
99.15
|
Security
Agreement, dated March 14, 2002, between the Bank of Union (the “Bank”),
Golsen Petroleum Corporation, SBL corporation, Jack E. Golsen, Jack
E.
Golsen Trust, Sylvia H. Golsen, and Sylvia H. Golsen Trust (the
“Pledgors”), is listed as Exhibit 99.17 of Amendment No. 29 to this
Schedule 13D and is incorporated herein by
reference.
|
|
99.16
|
Security
Agreement, dated May 10, 2004, executed by the Linda F. Rappaport
Trust in
favor of Bank of the West.
|
|
99.17
|
Security
Agreement, dated July 5, 2006, executed by the Sylvia H. Golsen Trust
in
favor of Bank of the West.
|
|
99.18
|
Commercial
Pledge Agreement, dated April 12, 2006, executed by SBL Corporation
in
favor of The Bank of Union.
|
|
99.19
|
Agreement,
dated November 10, 2006, between the Company and Kent C. McCarthy,
Jayhawk
Capital Management, L.L.C., Jayhawk Institutional Partners, L.P.,
and
Jayhawk Investments, L.P.
|
|
99.20
|
10B5-1
Sales Plan, dated December 5, 2006, between Jack Golsen and Capital
West
Securities, Inc. (the "Broker") covering the sale of up to 25,000
shares
of Company Common Stock. A substantially similar 10B5-1 Sales Plans
was
entered into on December 5, 2006, by Jack E. Golsen, Trustee of the
Jack
E. Golsen Revocable Trust covering the sale of up to 25,000 shares
of
Company Common Stock, a copy of which will be provided to the Commission
upon request.
|