-----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, VuRRlqk74awlpZ6TCexuXmVR6nRDxxQkE0BXZSE8VfWXri1mDnqDWAK8+vpd3MqL GmzG7s0ufWqyMZSygM4XhQ== 0001005477-04-000565.txt : 20040205 0001005477-04-000565.hdr.sgml : 20040205 20040205154052 ACCESSION NUMBER: 0001005477-04-000565 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20040205 GROUP MEMBERS: CAMPBELL, DONALD M. GROUP MEMBERS: GUARANTY FINANCE MANAGEMENT, LLC GROUP MEMBERS: HAMBRECHT & QUIST GROUP GROUP MEMBERS: HAMBRECHT & QUIST GUARANTY FINANCE LLC 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: 04570080 BUSINESS ADDRESS: STREET 1: 808 TRAVIS STREET 2: SUITE 1320 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7137809494 MAIL ADDRESS: STREET 1: 808 TRAVIS STREET 2: SUITE 1320 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 file001.txt AMENDMENT NUMBER 6 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Rule 13d-101 Under the Securities Exchange Act of 1934 (Amendment No. 6)* Goodrich Petroleum Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 382410-10-8 - -------------------------------------------------------------------------------- (CUSIP Number) Steven N. Machtinger 560 Mission Street San Francisco, CA 94105 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) 01/14/2004 - -------------------------------------------------------------------------------- (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 ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(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). Page 1 of 8 Pages CUSIP No. 382410-10-8 - -------------------------------------------------------------------------------- (1) Names and I.R.S. Identification Nos.(entities only) of reporting persons. Hambrecht & Quist California - -------------------------------------------------------------------------------- (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). OO - -------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items |_| 2(d) or 2(e). - -------------------------------------------------------------------------------- (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: 1,027,488 (9) Sole dispositive power: 0 (10) Shared dispositive power: 1,027,488 - -------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 1,027,488 - -------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11). 5.3% - -------------------------------------------------------------------------------- (14) Type of reporting person (see instructions). CO - -------------------------------------------------------------------------------- Page 2 of 8 Pages CUSIP No. 382410-10-8 - -------------------------------------------------------------------------------- (1) Names and I.R.S. Identification Nos.(entities only) of reporting persons. Hambrecht & Quist Group - -------------------------------------------------------------------------------- (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). OO - -------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items |_| 2(d) or 2(e). - -------------------------------------------------------------------------------- (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: 1,027,488 (9) Sole dispositive power: 0 (10) Shared dispositive power: 1,027,488 - -------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 1,027,488 - -------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11). 5.3% - -------------------------------------------------------------------------------- (14) Type of reporting person (see instructions). CO - -------------------------------------------------------------------------------- Page 3 of 8 Pages CUSIP No. 382410-10-8 - -------------------------------------------------------------------------------- (1) Names and I.R.S. Identification Nos.(entities only) of reporting persons. Hambrecht & Quist Guaranty Finance LLC - -------------------------------------------------------------------------------- (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). OO - -------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items |_| 2(d) or 2(e). - -------------------------------------------------------------------------------- (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: 1,027,488 (9) Sole dispositive power: 0 (10) Shared dispositive power: 1,027,488 - -------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 1,027,488 - -------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11). 5.3% - -------------------------------------------------------------------------------- (14) Type of reporting person (see instructions). OO - -------------------------------------------------------------------------------- Page 4 of 8 Pages CUSIP No. 382410-10-8 - -------------------------------------------------------------------------------- (1) Names and I.R.S. Identification Nos.(entities only) of reporting persons. Guaranty Finance Management, LLC - -------------------------------------------------------------------------------- (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). OO - -------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items |_| 2(d) or 2(e). - -------------------------------------------------------------------------------- (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: 1,027,488 (9) Sole dispositive power: 0 (10) Shared dispositive power: 1,027,488 - -------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 1,027,488 - -------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11). 5.3% - -------------------------------------------------------------------------------- (14) Type of reporting person (see instructions). OO - -------------------------------------------------------------------------------- Page 5 of 8 Pages CUSIP No. 382410-10-8 - -------------------------------------------------------------------------------- (1) Names and I.R.S. Identification Nos.(entities only) of reporting persons. Campbell, Donald M. - -------------------------------------------------------------------------------- (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). OO - -------------------------------------------------------------------------------- (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 - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power: 163,226 (8) Shared voting power: 1,213,320 (9) Sole dispositive power: 163,226 (10) Shared dispositive power: 1,213,226 - -------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 1,376,546 - -------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11). 7.1% - -------------------------------------------------------------------------------- (14) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- Page 6 of 8 Pages Item 1. Security and Issuer. No change since Amendment No. 5. Item 2. Identity and Background. (a) No change since Amendment No. 5. (b) No change since Amendment No. 5. (c) No change since Amendment No. 5. (d) No change since Amendment No. 5. (e) No change since Amendment No. 5. (f) No change since Amendment No. 5. Item 3. Source and Amount of Funds or Other Consideration. No change since Amendment No. 5. Item 4. Purpose of Transaction. No change since Amendment No. 5, except that the Buyers exercised the call option in full to purchase shares of Common Stock from the Sellers, as described in Amendment No. 5 and the sale of such shares occurred on January 14, 2004. In connection with the sale of shares on January 14, 2004, Hambrecht & Quist Guaranty Finance LLC sold an aggregate of 321,309 shares (of which 134,033 shares were obtained upon the net exercise of warrants to purchase 171,868 shares). In addition, in connection with the sale of shares on January 14, 2004, Donald M. Campbell and his pension plan sold an aggregate of 142,372 shares. Item 5. Interest in Securities of the Issuer. (a) No change, except for the following to reflect the change in beneficial ownership of each reporting person as a result of the sales described in Item 4. Hambrecht & Quist Guaranty Finance LLC beneficially holds an aggregate of 1,027,488 shares of Common Stock which represents 5.3% of the Common Stock outstanding. As a result of this holding, each of Hambrecht & Quist California, Hambrecht & Quist Group and Guaranty Finance Management, LLC may be deemed to own these shares. Donald M. Campbell beneficially holds an aggregate of 1,376,546 shares of Common Stock which represents 7.1% of the Common Stock outstanding. (b) With respect to the shares discussed in paragraph (a), the power to vote or dispose of or direct the vote or disposition of the shares is shared, except with respect to an aggregate of 163,226 shares over which Donald M. Campbell has sole voting and dispositive power. (c) On January 14, 2004, the reporting persons sold an aggregate of 463,681 shares of Common Stock pursuant to the agreements described in Amendment No. 5. These shares were sold in a private transaction. (d) None. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. No change since Amendment No. 5. Item 7. Material to be Filed as Exhibits. The following exhibit to this Statement on Schedule 13D is filed herewith: Joint Filing Undertaking as required by Rule 13d-1(k)(1). Page 7 of 8 Pages After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Hambrecht & Quist Group Date: 01/16/2004 /s/ Steven N. Machtinger Name: Steven N. Machtinger Title: Vice President Hambrecht & Quist California Date: 01/16/2004 /s/ Steven N. Machtinger Name: Steven N. Machtinger Title: General Counsel Hambrecht & Quist Guaranty Finance, LLC Date: 01/16/2004 /s/ David Golden Name: David Golden Title: Member of the Management Committee Donald M. Campbell Date: 01/16/2004 /s/ Donald M. Campbell Name: Donald M. Campbell Guaranty Finance Management, LLC Date: 01/16/2004 /s/ Donald M. Campbell Name: Donald M. Campbell Title: Chief Executive Officer and Manager The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative (other than an executive officer or general partner of the filing person), evidence of the representative's authority to sign on behalf of such person shall be filed with the statement: Provided, however, That a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. ATTENTION--Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001). (Secs. 13(d), 13(g), 14(d), 23, 48 Stat. 894, 895, 901; sec. 8, 49 Stat. 1379; sec. 203(a), 49 Stat. 704; sec. 10, 78 Stat. 88a; Secs. 2, 3, 82 Stat. 454, 455; secs. 1, 2, 3-5, 84 Stat. 1497; sec. 18, 89 Stat. 155; secs. 202, 203, 91 Stat. 1494, 1498, 1499; 15 U.S.C. 78m(d), 78m(g), 78n(d), 78w) [44 FR 2145, Jan. 9, 1979; 44 FR 11751, Mar. 2, 1979; 44 FR 70340, Dec. 6, 1979; 47 FR 11466, Mar. 16, 1982; 61 FR 49959, Sept. 24, 1996; 62 FR 35340, July 1, 1997; 63 FR 2867, Jan. 16, 1998; 63 FR 15287, Mar. 31, 1998] Page 8 of 8 Pages EX-99.1 3 file002.txt JOINT FILING UNDERTAKING 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 16th day of January, 2004. 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 the 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 -----END PRIVACY-ENHANCED MESSAGE-----