-----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, OLyO0R3BXsTd/UqaqZdPMWcUh/K8Rc70TLpM7FqSLKjM1TazF8fwZByjygayhJet ZEkSUeXNevoRFp70Jb7YpA== 0000927797-02-000043.txt : 20020414 0000927797-02-000043.hdr.sgml : 20020414 ACCESSION NUMBER: 0000927797-02-000043 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL ALLIANCE INCOME TRUST REAL ESTATE & INVESTMENT TRUS CENTRAL INDEX KEY: 0001021422 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 943240473 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-57591 FILM NUMBER: 02536929 BUSINESS ADDRESS: STREET 1: 50 CALIFORNIA STREET STREET 2: SUITE 2020 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4152889575 MAIL ADDRESS: STREET 1: 50 CALIFORNIA STREET STREET 2: SUITE 2020 CITY: SAN FRANCISO STATE: CA ZIP: 94111 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SCHWARTZ THOMAS B CENTRAL INDEX KEY: 0001166709 FILING VALUES: FORM TYPE: SC 13D MAIL ADDRESS: STREET 1: 50 CALIFORNIA STREET STREET 2: #2020 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13D 1 cait13dschwartz_02-02.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13-d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) CAPITAL ALLIANCE INCOME TRUST LTD., A REAL ESTATE INVESTMENT TRUST - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 13971R108 - -------------------------------------------------------------------------------- (CUSIP Number) Thomas B. Swartz Capital Alliance Advisors, Inc. 50 California St., Suite 2000 San Francisco, California 94111 (415) 288-9575 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 2, 2001 - -------------------------------------------------------------------------------- (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 which 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 | |. 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. CUSIP No. 13971R108 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Thomas B. Swartz Tax ID - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) | | (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION California - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 56,716 -------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES 0 BENEFICIALLY -------------------------------------------------------------- OWNED BY 9 SOLE DISPOSITIVE POWER REPORTING 56,716 PERSON WITH -------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 56,716 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* | | - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- Item 1. Security and Issuer The title of the class of equity shares to which this Schedule 13D relates are the Common Shares of Capital Alliance Income Trust Ltd., a Real Estate Investment Trust. The issuer's principal executive offices are located at: Capital Alliance Income Trust Ltd. 50 California Street, Suite 2020 San Francisco, CA 94111 Item 2. Identity and Background Name of Reporting Person: Thomas B. Swartz Business Address. Capital Alliance Income Trust Ltd. 50 California Street, Suite 2020 San Francisco, CA 94111 Principal Occupation: Chairman and Chief Executive Officer of Capital Alliance Advisors, Inc. (1989 to date); Chairman, Chief Executive Officer and Director, Capital Alliance Income Trust Ltd. (1991 to date) and Capital Alliance Funding Corporation (1997 to date); Chairman, Calliance Realty Fund, LLC (1995 to date). Capital Alliance Advisors, Inc. ("CAAI") is a real estate asset manager and broker. CAAI originates, underwrites, funds, services and sells residential mortgage loans secured by trust deeds in the western United States on behalf of and is the Manager of Capital Alliance Income Trust Ltd. and a private real estate investment program. The principal office of Capital Alliance Advisors, Inc. is 50 California Street, Suite 2020, San Francisco, CA 94111; telephone: (415) 288-9575 facsimile: (415) 288-9590. As of March 31, 2001, CAAI had 15 employees. Legal Proceedings: During the last five years, neither the Reporting Person nor CAAI has been a party to any criminal, civil, or federal or state securities law violation proceedings. Citizenship: United States of America Item 3. Source and Amount of Funds or Other Consideration The source of the funds used or to be used in the acquisition of the Common Shares of Capital Alliance Income Trust Ltd. by Thomas B. Swartz were or will be generated from personal savings or loans. The aggregate amount of funds invested was $13,671.00. Item 4. Purpose of Transaction The purchases of the Common Shares of the Issuer, made by the Reporting Person were not made with any current view toward or plan or purpose of acquiring Common Shares in a series of successive and periodic acquisitions. All of the Common Shares were acquired over an extended period of time dating back to October, 1998. The Reporting Person has acquired the Shares solely for investment purposes and all Common Shares were purchased through the public security exchanges. The Reporting Person has no present intention to seek control of the Trust or to change the management or operations of the Trust. The Reporting Person does not have any present intention to seek or cause a liquidation of the Trust. The Reporting Person has no present intention or plan that would result in the Issuer being involved in an extraordinary corporate transaction, a sale or transfer of a material amount of assets, any change in the current board of directors or management, any material change in present capitalization, any material change in the Issuer's business or corporate structure, or any action causing the Common Shares to be delisted. The Reporting Person nevertheless reserves the right, at an appropriate time, to exercise their rights as Shareholders to vote on matters subject to Shareholder vote. Item 5. Interest in Securities of the Issuer Reporting Person ---------------- Last Reporting Date 9/30/01 Thomas B. Swartz =================================== ================= a) Number of Shares (1) 56,716 % of Class 11% - ----------------------------------- ----------------- b) Number of Shares with Sole Power to Vote (1) 56,716 =================================== ================= c) Transactions during last 60 Number of Shares days (1) Purchased Price per Share =================================== ================= NONE - -------------------------------------------------------------------------------- (1) Shares "beneficially owned" consist of 1,029 Common Shares and non-qualified stock options to acquire 55,687 Common Shares. All Common Shares were acquired through public security exchanges. - -------------------------------------------------------------------------------- Item 6. Contracts, Arrangements, Understandings, or Relationships with Respect to Securities of the Issuer None. Item 7. Material to Be Filed as Exhibits None. 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. /s/ Thomas B. Swartz -------------------- Thomas B. Swartz -----END PRIVACY-ENHANCED MESSAGE-----