|
(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
|
467,726
|
|
|
Number of Shares
|
(8) | Shared Voting Power |
3,668,696
|
|
|
Beneficially
|
|
|
|
|
|
Owned by Each
|
(9)
|
Sole Dispositive Power
|
467,726
|
|
|
Reporting Person
|
||||
|
With:
|
(10)
|
Shared Dispositive Power
|
3,668,696
|
|
|
(11)
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
4,136,422
|
|
|
(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)
|
18.64%
|
|
|
(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 |
2,166,653
|
|
|
Beneficially
|
|
|
|
|
|
Owned by Each
|
(9)
|
Sole Dispositive Power
|
-
|
|
|
Reporting Person
|
||||
|
With:
|
(10)
|
Shared Dispositive Power
|
2,166,653
|
|
|
(11)
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
2,166,653
|
|
|
(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)
|
9.99%
|
|
|
(14)
|
Type of Reporting Person (See Instructions)
|
IN
|
|
(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)
|
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
|
307,889
|
||
|
Number of Shares
|
(8)
|
Shared Voting Power
|
2,849,022
|
|
|
Beneficially
|
||||
|
Owned by Each
|
(9)
|
Sole Dispositive Power
|
307,889
|
|
|
Reporting Person
|
||||
|
With:
|
(10)
|
Shared Dispositive Power
|
2,849,022
|
|
|
(11)
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
3,156,911
|
|
|
(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)
|
14.32%
|
|
|
(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)
|
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
|
275,165
|
||
|
|
||||
|
Number of Shares
|
(8)
|
Shared Voting Power
|
572,212
|
|
|
Beneficially
|
||||
|
Owned by Each
|
(9)
|
Sole Dispositive Power
|
275,165
|
|
|
Reporting Person
|
|
|||
|
With:
|
(10)
|
Shared Dispositive Power
|
572,212
|
|
|
(11)
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
847,377
|
|
|
(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)
|
3.98%
|
|
|
(14)
|
Type of Reporting Person (See Instructions)
|
IN
|
|
(1)
|
Names of Reporting Persons, I.R.S. Identification No. of above Persons (entities only)
|
Linda F. 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
|
-
|
||
|
|
||||
|
Number of Shares
|
(8)
|
Shared Voting Power
|
792,645
|
|
| Beneficially | ||||
|
Owned by Each
|
(9)
|
Sole Dispositive Power
|
-
|
|
|
Reporting Person
|
|
|||
|
With:
|
(10)
|
Shared Dispositive Power
|
792,645
|
|
|
(11)
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
792,645
|
|
|
(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)
|
3.56%
|
|
|
(14)
|
Type of Reporting Person (See Instructions)
|
IN
|
|
(1)
|
Names of Reporting Persons, I.R.S. Identification No. of above Persons (entities only)
|
Golsen Family, L.L.C.
20-8234753
|
|
|
(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
|
2,166,653
|
|
|
Beneficially
|
||||
|
Owned by Each
|
(9)
|
Sole Dispositive Power
|
-
|
|
|
Reporting Person
|
|
|||
|
With:
|
(10)
|
Shared Dispositive Power
|
2,166,653
|
|
|
(11)
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
2,166,653
|
|
|
(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)
|
9.99%
|
|
|
(14)
|
Type of Reporting Person (See Instructions)
|
OO
|
|
(1)
|
Names of Reporting Persons, I.R.S. Identification No. of above Persons (entities only)
|
SBL, L.L.C. |
|
|
(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
|
2,814,987
|
|
|
Beneficially
|
||||
|
Owned by Each
|
(9)
|
Sole Dispositive Power
|
-
|
|
|
Reporting Person
|
|
|||
|
With:
|
(10)
|
Shared Dispositive Power
|
2,814,987
|
|
|
(11)
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
2,814,987
|
|
|
(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)
|
12.78%
|
|
|
(14)
|
Type of Reporting Person (See Instructions)
|
OO
|
|
(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
|
417,288
|
|
|
Beneficially
|
||||
|
Owned by Each
|
(9)
|
Sole Dispositive Power
|
-
|
|
|
Reporting Person
|
|
|||
|
With:
|
(10)
|
Shared Dispositive Power
|
417,288
|
|
|
(11)
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
417,288
|
|
|
(12)
|
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
|
[ ]
|
|
|
(13)
|
Percent of Class Represented by Amount in Row (11)
|
1.96%
|
|
|
(14)
|
Type of Reporting Person (See Instructions)
|
CO
|
|
·
|
Jack E. Golsen (Chief Executive Officer and Chairman of the Board of the Company);
|
|
·
|
Sylvia H. Golsen;
|
|
·
|
Barry H. Golsen (President and member of the Board of Directors of the Company);
|
|
·
|
Steven J. Golsen (President of certain subsidiaries of the Company);
|
|
·
|
Linda F. Rappaport, an individual;
|
|
·
|
Golsen Family, L.L.C., an Oklahoma limited liability company (“GFLLC”);
|
|
·
|
SBL, L.L.C. (“SBL”); and
|
|
·
|
Golsen Petroleum Corporation (“GPC”), an Oklahoma corporation and wholly-owned subsidiary of SBL.
|
|
|
(a)
|
sales may not commence until September 16, 2010;
|
|
|
(b)
|
the 10B5-1 Sales Plan will terminate not later than the earlier of September 16, 2011, or the date that all shares of Common Stock covered by the 10B5-1 Sales Plan have been sold in accordance with such plan;
|
|
|
(c)
|
the sale price of Common Stock sold under the 10B5-1 Sales Plan will be at a price per share (before selling expenses) at or above $19.00;
|
|
|
(d)
|
all sales will be made on the New York Stock Exchange; and
|
|
|
(e)
|
sales of Common Stock under the 10B5-1 Sales Plan will be made in the discretion of the Broker, subject to the terms and conditions of the 10B5-1 Sales Plan.
|
|
|
(a)
|
The following table sets forth as of the filing date of this Amendment No. 40 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 (10) (11) | Percent (12) | |
| Jack E. Golsen |
4,136,422 (2)
|
18.64% | ||
| Sylvia H. Golsen |
2,166,653 (3)
|
9.99% | ||
| Barry H. Golsen |
3,156,911(?) (4)
|
14.32% | ||
| Steven J. Golsen |
847,377 (5)
|
3.98% | ||
| Linda F. Rappaport | 792,645 (6) | 3.56% | ||
| Golsen Family, L.L.C.(1) | 2,166,653 (7) |
9.99%
|
||
| SBL (1) | 2,814,987 (8) | 12.78% | ||
| GPC (1) | 417,288 (9) | 1.96% |
|
|
(1)
|
The membership interests in GFLLC are owned by Jack Golsen through his revocable trust (43.516%), Sylvia Golsen through her revocable trust (43.516%), Barry Golsen (4.323%), Steven Golsen (4.323%), and Linda Rappaport (4.323%). Jack and Sylvia Golsen are the managers of GFLLC, and as a result share voting and dispositive power over the Company’s securities owned by GFLLC. SBL is wholly-owned by GFLLC (49% owner), Barry Golsen (17% owner), Steven Golsen (17% owner) and Linda Rappaport (17% owner). GPC is a wholly owned subsidiary of SBL. Jack Golsen and Barry Golsen are the managers of SBL and the directors and executive officers of GPC. Barry Golsen, Steven Golsen and Linda Rappaport are the children of Jack and Sylvia Golsen, husband and wife.
|
|
|
(2)
|
The amount shown is comprised of the following:
|
|
|
(a)
|
787,309 shares owned by GFLLC as described in footnote (7), over which the reporting person shares investment and dispositive power with Sylvia Golsen;
|
|
|
(b)
|
2,814,987 shares beneficially owned by SBL and GPC as described in footnotes (8) and (9), respectively, over which the reporting person shares investment and dispositive power with Barry Golsen;
|
|
|
(c)
|
4,000 shares issuable upon conversion of a promissory note, over which the reporting person has sole voting and dispositive power;
|
|
|
(d)
|
200,406 shares owned of record by eight trusts for the benefit of the grandchildren and great grandchildren of Jack Golsen, over which Jack Golsen serves as the sole trustee with voting and dispositive power over the Company’s securities held in the trusts;
|
|
|
(e)
|
263,320 shares owned of record by the Barry H. Golsen 2007 Irrevocable Trust, the Steve J. Golsen 2007 Irrevocable Trust, and the Linda F. Rappaport 2007 Irrevocable Trust, over which Jack Golsen serves as the sole trustee with voting and dispositive power over the Company’s securities held in the trusts; and
|
|
|
(f)
|
30,000 shares owned by Linda Rappaport and 36,400 shares that Linda Rappaport may acquire upon the conversion of $1 million principal amount of the Company’s 5.5% Convertible Senior Subordinated Debentures Due 2012 owned by her, the dispositive power and voting power of which is shared with Jack Golsen. Jack Golsen has no pecuniary interest in the shares beneficially owned by Linda Rappaport.
|
|
|
(3)
|
The amount shown is comprised of (a) 787,309 shares beneficially owned by GFLLC as described in footnote (7), over which the reporting person shares dispositive and investment power with Jack Golsen, and (b) 1,379,344 shares representing the reporting person’s percentage ownership through GFLLC of the shares beneficially owned by SBL and GPC as described in footnotes (8) and (9), respectively. The amount shown does not include, and the reporting person disclaims beneficial ownership of the shares listed in footnote (2) above as beneficially owned by Jack Golsen (except the shares noted in the preceding sentence).
|
|
|
(4)
|
The amount shown is comprised of the following:
|
|
|
(a)
|
307,889 shares held directly;
|
|
|
(b)
|
34,035 shares representing the reporting person’s percentage ownership of the shares owned directly by GFLLC and that GFLLC has the right to acquire as described in footnote (7) as a result of the reporting person’s ownership in GFLLC; and
|
|
|
(c)
|
2,814,987 shares beneficially owned by SBL and GPC as described in footnotes (8) and (9), respectively, over which the reporting person shares investment and dispositive control with Jack Golsen.
|
|
|
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 2007 Irrevocable Trust, of which Barry Golsen is the primary beneficiary, but of which Barry Golsen has no voting or dispositive control.
|
|
|
(5)
|
The amount shown is comprised of the following:
|
|
|
(a)
|
263,915 shares held directly;
|
|
|
(b)
|
11,250 shares issuable upon exercise of stock options;
|
|
|
(c)
|
93,664 shares representing the reporting person’s percentage ownership of the shares owned directly by GFLLC and that GFLLC has the right to
|
|
|
acquire as described in footnote (7) and the reporting person’s percentage ownership in the shares held by SBL and GPC as a result of the reporting person’s ownership in GFLLC; and
|
|
|
(d)
|
478,548 shares representing the reporting person’s percentage ownership of the shares beneficially owned by SBL and GPC as described in footnotes (8) and (9), respectively, as a result of the reporting person’s ownership in SBL.
|
|
|
The amount shown does not include 84,440 shares owned of record by the Steven J. Golsen 2007 Irrevocable Trust, of which Steven Golsen is the primary beneficiary, but of which Steven Golsen has no voting or dispositive control.
|
|
|
(6)
|
The amount shown is comprised of the following:
|
|
|
(a)
|
36,400 shares issuable upon the conversion of $1 million principal amount of the Company’s 5.5% Convertible Senior Subordinated Debentures Due 2012, the dispositive and voting power of which is shared with Jack Golsen;
|
|
|
(b)
|
30,000 shares owned directly, the dispositive and voting power of which is shared with Jack Golsen;
|
|
|
(c)
|
93,664 shares representing the reporting person’s percentage ownership of the shares owned directly by GFLLC and that GFLLC has the right to acquire as described in footnote (7) and the reporting person’s percentage ownership in the shares held by SBL and GPC as a result of the reporting person’s ownership in GFLLC;
|
|
|
(d)
|
478,548 shares representing the reporting person’s percentage ownership of the shares beneficially owned by SBL and GPC as described in footnotes (8) and (9), respectively, as a result of the reporting person’s ownership in SBL; and
|
|
|
(e)
|
154,033 shares that the reporting person’s spouse owns, for which the reporting person 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.
|
|
|
(7)
|
The amount shown is comprised of the following:
|
|
|
(a)
|
653,976 shares owned directly;
|
|
|
(b)
|
133,333 shares issuable upon the conversion of 4,000 shares of the Company’s Series 2 Preferred; and
|
|
|
(c)
|
1,379,344 shares representing GFLLC’s beneficial ownership in the shares held by SBL and GPC as a result of the GFLLC’s ownership in SBL.
|
|
|
(8)
|
The amount shown is comprised of the following:
|
|
|
(a)
|
1,602,099 shares owned directly;
|
|
|
(b)
|
250,000 shares issuable upon the conversion of 1,000,000 shares of the Company’s Series D Preferred;
|
|
|
(c)
|
400,000 shares issuable upon the conversion of 12,000 shares of the Company’s Series B Preferred;
|
|
|
(d)
|
145,600 issuable shares upon the conversion of $4 million principal amount of the Company’s 5.5% Convertible Senior Subordinated Debentures Due 2012; and
|
|
|
(e)
|
417,288 shares beneficially owned by SBL’s wholly owned subsidiary, GPC. See, footnote (9).
|
|
|
(9)
|
The amount shown is comprised of (a) 283,955 shares owned directly, and (b) 133,333 shares that may be acquired upon conversion of 4,000 shares of the Company’s Series B Preferred Stock.
|
|
|
(10)
|
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 amounts and percentages set forth in the table reflect only the voting power of Common Stock into which the Series B Preferred and the Series D Preferred are convertible.
|
|
|
(11)
|
Jack Golsen, Sylvia Golsen, Barry Golsen, Steven Golsen, and Linda Rappaport each disclaims beneficial ownership of the shares of Common Stock beneficially owned by the other, as described in footnotes (2), (3), (4), (5), and (6), respectively, except as stated in such footnotes.
|
|
|
(12)
|
The percentage ownership of each reporting person is based on 21,093,683 shares of Common Stock outstanding, as of July 30, 2010. 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 No. 40 for each person and entity identified under paragraph (a), above, the number of shares of Common Stock as to which the person and entity has (i) the sole power to vote or direct the voting, (ii) shared power to vote or direct the voting, (iii) the sole power to dispose or to direct the disposition, or (iv) 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
|
467,726(2)
|
3,668,696(2)
|
|
Sylvia H. Golsen
|
None
|
2,166,653(3)
|
|
Barry H. Golsen
|
307,889(4)
|
2,849,022(4)
|
|
Steven J. Golsen
|
275,165(5)
|
572,212(5)
|
|
Linda F. Rappaport
|
0(6)
|
798,645(6)
|
|
Golsen Family, L.L.C.(1)
|
None
|
2,166,653(7)
|
|
SBL(1)
|
None
|
2,814,987(8)
|
|
GPC(1)
|
None
|
417,288(9)
|
|
|
(1)
|
See footnote (1) under paragraph (a) of this Item 5.
|
|
|
(2)
|
See footnote (2) under paragraph (a) of this Item 5.
|
|
|
(3)
|
See footnote (3) under paragraph (a) of this Item 5
|
|
|
(4)
|
See footnote (4) under paragraph (a) of this Item 5.
|
|
|
(5)
|
See footnote (5) under paragraph (a) of this Item 5.
|
|
|
(6)
|
See footnote (6) under paragraph (a) of this Item 5.
|
|
|
(7)
|
See footnote (7) under paragraph (a) of this Item 5.
|
|
|
(8)
|
See footnote (8) under paragraph (a) of this Item 5.
|
|
|
(9)
|
See footnote (9) under paragraph (a) of this Item 5.
|
|
(c)
|
During the 60 days prior to the filing of this Amendment No. 40 to this Schedule 13D, the reporting persons did not affect any transactions in the Common Stock, except on June 30, 2010, Barry H. Golsen acquired 11,250 shares of Common Stock from the Company upon the exercise of a nonqualified stock option at an exercise price of $2.73 per share.
|
|
(d)
|
Not Applicable.
|
|
(e)
|
Not applicable.
|
|
Item 6.
|
Contracts, Agreements, Underwritings or Relationships With Respect to Securities of the Issuer.
|
|
Item 7.
|
Materials to be Filed as Exhibits.
|
|
24.1
|
Powers of Attorney executed by Barry H. Golsen, Steven J. Golsen, and Sylvia H. Golsen are filed as Exhibit 24.1 to Amendment No. 33 to this Schedule 13D and are incorporated herein by reference.
|
|
24.2
|
Power of Attorney, dated December 29, 2008, executed by Linda F. Rappaport is filed as Exhibit 24.2 to Amendment No. 38 and is incorporated herein by reference.
|
|
99.1
|
Joint Filing Statement, dated September 19, 2007, is filed as Exhibit 99.1 to Amendment No. 34 and is incorporated herein by reference.
|
|
99.2
|
Joint Filing Statement, dated December 29, 2008, executed by Linda F. Rappaport is filed as Exhibit 99.2 to Amendment No. 38 and is incorporated herein by reference.
|
|
99.3
|
Convertible Note between the Company and Jack E. Golsen filed as Exhibit (a) to the original Schedule 13D and is incorporated herein by reference.
|
|
99.4
|
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.
|
|
99.5
|
Stacy L. Rappaport 2007 Irrevocable Trust Agreement, dated January 15, 2007, is filed as Exhibit No. 99.4 to Amendment No. 34 and is incorporated herein by reference. The Joshua B. Golsen 2007 Irrevocable Trust Agreement, Adam Z. Golsen 2007 Irrevocable Trust Agreement, Amy G. Rappaport 2007 Irrevocable Trust Agreement, Lori R. Rappaport 2007 Irrevocable Trust Agreement, Michelle L. Golsen 2007 Irrevocable Trust Agreement, and Preston Ayden Mattingly 2007 Irrevocable Trust Agreement, each dated January 15, 2007, are substantially similar to the Stacy L. Rappaport 2007 Irrevocable Trust Agreement, except each trust is named for primary beneficiary of such trust, and copies of the same will be supplied to the Commission upon request.
|
|
99. 6
|
Barry H. Golsen 2007 Irrevocable Trust Agreement, dated January 15, 2007, is filed as Exhibit 99.5 to Amendment No. 34 and is incorporated herein by reference. The Steven J. Golsen 2007 Irrevocable Trust Agreement and Linda F. Rappaport 2007 Irrevocable Trust Agreement, each dated January 15, 2007, are substantially similar to the Barry H. Golsen 2007 Irrevocable Trust Agreement, except each trust is named for primary beneficiary of such trust, and copies of the same will be supplied to the Commission upon request.
|
|
99.7
|
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.
|
|
99.8
|
Shareholder’s Agreement, effective December 1, 1995, among Barry H. Golsen, Sylvia Golsen and SBL Corporation is filed as Exhibit 99.7 to Amendment No. 33 and is incorporated herein by reference.
|
|
99.9
|
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 99.7 hereto and a copy of the same will be supplied to the Commission upon request.
|
|
99.10
|
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 99.7 hereto and a copy of the same will be supplied to the Commission upon request.
|
|
99.11
|
Security Agreement, dated November 7, 2008, executed by SBL, L.L.C. in favor of The Bank Of The West is filed as Exhibit 99.12 to Amendment No. 38 and is incorporated herein by reference.
|
|
99.12
|
Rule 10B5-1 Sales Plan, dated August 19, 2010, between Golsen Family, L.L.C. and Morgan Stanley Smith Barney, LLC.
|