- Statement of Ownership (SC 13G)
January 21 2009 - 11:00AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
(Amendment No. )
GLOBAL ENTERTAINMENT CORPORATION
(Name of Issuer)
Common Stock
(Title of Class of Securities)
37939C 20 0
(CUSIP Number)
January 21, 2009
(Date of Event which requires Filing of this Statement
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[ ] Rule 13d-1(b)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
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).
SCHEDULE 13G
CUSIP NO. 37939C 20 0 Page 2 of 8 Pages
--------------------- -----------------
1 NAMES OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Rudy R. Miller
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X]
(b) [ ]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------
5 SOLE VOTING POWER
539,210 (1)
NUMBER OF ---------------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY 0
OWNED BY ---------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING 539,210 (1)
PERSON ---------------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
0
---------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
539,210 (1)
-----------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
-----------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
8.14%
-----------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
-----------------------------------------------------------------------
----------
1. Includes 506,210 shares beneficially owned by Miller Capital Corporation of
which 6,000 are restricted stock issued under Global Entertainment
Corporation's 2007 Long-Term Incentive Plan that vest 100% 12 months after
the issuance date and were ratified by the Board of Directors for issuance
on February 18, 2008, 20,000 warrants that expire March 18, 2009 and 60,000
warrants that expire April 7, 2011. Mr. Miller is the sole shareholder of
Miller Capital Corporation.
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SCHEDULE 13G
CUSIP NO. 37939C 20 0 Page 3 of 8 Pages
--------------------- -----------------
1 NAMES OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Miller Capital Corporation
--------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X]
(b) [ ]
--------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Arizona
-----------------------------------------------------------------------
5 SOLE VOTING POWER
0
NUMBER OF ---------------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY 506,210 (2)
OWNED BY ---------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING 0
PERSON ---------------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
506,210 (2)
---------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
506,210 (2)
-----------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
-----------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.64%
-----------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
CO
-----------------------------------------------------------------------
----------
2. Rudy R. Miller is the sole shareholder of Miller Capital Corporation and is
therefore the beneficial owner of the shares of Issuer's common stock;
however, because Miller Capital Corporation is the record holder of such
shares of capital stock, Miller Capital Corporation may be deemed to share
voting power with Mr. Miller over such shares of common stock.
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SCHEDULE 13G
CUSIP NO. 37939C 20 0 Page 4 of 8 Pages
--------------------- -----------------
1 NAMES OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Miller Capital Markets, LLC
--------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X]
(b) [ ]
--------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Arizona
-----------------------------------------------------------------------
5 SOLE VOTING POWER
0
NUMBER OF ---------------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY 0 (3)
OWNED BY ---------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING 0
PERSON ---------------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
0 (3)
---------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 (3)
-----------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
-----------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0%
-----------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
CO
-----------------------------------------------------------------------
----------
3. Miller Capital Markets, LLC is owned 99% by Miller Investments, Inc. of
which Rudy R. Miller is the sole shareholder of Miller Investments, Inc.
and is therefore the beneficial owner of the shares of Issuer's common
stock; however, because Miller Capital Markets, LLC is the record holder of
such shares of capital stock, Miller Capital Markets, LLC may be deemed to
share voting power with Mr. Miller over such shares of common stock.
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SCHEDULE 13G
CUSIP NO. 37939C 20 0 Page 5 of 8 Pages
--------------------- -----------------
ITEM 1. NAME OF ISSUER
(a) Name of Issuer:
GLOBAL ENTERTAINMENT CORPORATION
(b) Address of Issuer's Principal Executive Offices:
1600 North Desert Drive, Tempe, Arizona 85281
ITEM 2. NAME OF PERSON FILING
(a) Name of Person Filing:
This statement is filed by Rudy R. Miller and Miller Capital
Corporation, an Arizona corporation of which Mr. Miller is the sole
shareholder.
(b) Address of Principal Business Office or, if None, Residence:
The address of the Reporting Persons is 4900 North Scottsdale Road,
Suite 3800, Scottsdale, AZ 85251-7663.
(c) Citizenship:
Rudy R. Miller is a United States citizen, Miller Capital Corporation
is an Arizona corporation and Miller Capital Markets, LLC is an
Arizona limited liability company.
(d) Title of Class of Securities:
Common Stock
(e) CUSIP Number:
37939C 20 0
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B) OR
(C), CHECK WHETHER THE PERSON FILING IS A:
(a) [ ] Broker or dealer registered under Section 15 of the Act;
(b) [ ] Bank as defined in section 3(a)(6) of the Act;
(c) [ ] Insurance company as defined in section 3(a)(19) of the Act;
(d) [ ] Investment company registered under section 8 of the
Investment Company Act;
(e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance with
Rule 13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in accordance with
Rule 13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of the
Federal Deposit Insurance Act
(i) [ ] A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the Investment
Company Act;
(j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J);
Not Applicable
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SCHEDULE 13G
CUSIP NO. 37939C 20 0 Page 6 of 8 Pages
--------------------- -----------------
ITEM 4. OWNERSHIP.
A. RUDY R. MILLER
(a) Amount Beneficially Owned:
539,210
(b) Percent of Class:
8.14%
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
539,210
(ii) shared power to vote or to direct the vote:
0
(iii) sole power to dispose or to direct the disposition of:
539,210
(iv) shared power to dispose or to direct the disposition of:
0
B. MILLER CAPITAL CORPORATION
(a) Amount Beneficially Owned:
506,210
(b) Percent of Class:
7.64%
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
0
(ii) shared power to vote or to direct the vote:
506,210
(iii) sole power to dispose or to direct the disposition of:
0
(iv) shared power to dispose or to direct the disposition of:
506,210
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SCHEDULE 13G
CUSIP NO. 37939C 20 0 Page 7 of 8 Pages
--------------------- -----------------
C. MILLER CAPITAL MARKETS, LLC
(a) Amount Beneficially Owned:
0
(b) Percent of Class:
0%
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
0
(ii) shared power to vote or to direct the vote:
0
(iii) sole power to dispose or to direct the disposition of:
0
(iv) shared power to dispose or to direct the disposition of:
0
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SCHEDULE 13G
CUSIP NO. 37939C 20 0 Page 8 of 8 Pages
--------------------- -----------------
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
Not Applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
Not Applicable.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
Not Applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
Not Applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Not Applicable.
ITEM 10. CERTIFICATION.
By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were not acquired and are not held for the
purpose of or with the effect of changing or influencing the control of the
issuer of the securities and were not acquired and are not held in connection
with or as a participant in any transaction having that purpose or effect.
SIGNATURE
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.
January 21, 2009
/s/ Rudy R. Miller
-------------------------------------------
Rudy R. Miller
MILLER CAPITAL CORPORATION
By: /s/ Rudy R. Miller
----------------------------------------
Name: Rudy R. Miller
Title: President
MILLER CAPITAL MARKETS, LLC
By: /s/ Rudy R. Miller
----------------------------------------
Name: Rudy R. Miller
Title: Chairman of the Board
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