-----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, BIeqWaHEjGz1LJWNiUOjryxkyqNa48PaOn1b0p2vN/uiArXJSEl0hAbcpJfKBnrT 95m94LbRT+8B7xFru4Mv2Q== 0000950142-07-000291.txt : 20070130 0000950142-07-000291.hdr.sgml : 20070130 20070130164534 ACCESSION NUMBER: 0000950142-07-000291 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20070130 DATE AS OF CHANGE: 20070130 GROUP MEMBERS: MR. DANIEL STERN GROUP MEMBERS: RCGM, LLC GROUP MEMBERS: RESERVOIR CAPITAL GROUP, L.L.C. GROUP MEMBERS: RESERVOIR MASTER FUND, L.P. GROUP MEMBERS: RESERVOIR PCA FUND (CAYMAN), L.P. GROUP MEMBERS: RMF GP, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LUMINENT MORTGAGE CAPITAL INC CENTRAL INDEX KEY: 0001236309 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 061694835 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79660 FILM NUMBER: 07565103 BUSINESS ADDRESS: STREET 1: ONE MARKET, SPEAR TOWER STREET 2: 30TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 415-978-3000 MAIL ADDRESS: STREET 1: ONE MARKET, SPEAR TOWER STREET 2: 30TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94105 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RESERVOIR CAPITAL GROUP LLC CENTRAL INDEX KEY: 0001137465 IRS NUMBER: 133978514 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 650 MADISON AVE STREET 2: 26TH FL. CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126109000 MAIL ADDRESS: STREET 1: 650 MADISON AVE STREET 2: 26TH FL. CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 sc13ga1_lmci.txt AMENDMENT NO. 1 ================================================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* LUMINENT MORTGAGE CAPITAL, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 550278303 (CUSIP Number) DECEMBER 31, 2006 (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 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 reminder 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). ================================================================================ CUSIP No. 550278303 Page 1 of 12 Schedule 13G - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Reservoir Master Fund, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF -0- ------------------------------------------- SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- ------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- CUSIP No. 550278303 Page 2 of 12 Schedule 13G - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) RMF GP, LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF -0- ------------------------------------------- SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- ------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) OO - -------------------------------------------------------------------------------- CUSIP No. 550278303 Page 3 of 12 Schedule 13G - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Reservoir PCA Fund (Cayman), L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION The Cayman Islands - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF -0- ------------------------------------------- SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- ------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- CUSIP No. 550278303 Page 4 of 12 Schedule 13G - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Reservoir Capital Group, L.L.C. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF -0- ------------------------------------------- SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- ------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) OO - -------------------------------------------------------------------------------- CUSIP No. 550278303 Page 5 of 12 Schedule 13G - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) RCGM, LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF -0- ------------------------------------------- SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- ------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) OO - -------------------------------------------------------------------------------- CUSIP No. 550278303 Page 6 of 12 Schedule 13G - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Daniel Stern - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF -0- ------------------------------------------- SHARES BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- ------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- ------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- CUSIP No. 550278303 Page 7 of 12 Schedule 13G This Amendment No. 1 to Schedule 13G is filed by the undersigned to amend and restate in its entirety the Schedule 13G, dated December 13, 2005, filed by Reservoir Master Fund, L.P., a Delaware limited partnership ("RESERVOIR"), RMF GP, LLC, a Delaware limited liability company ("RMF GP"), Reservoir PCA Fund, L.P., a Delaware limited partnership ("RESERVOIR PCA"), Reservoir Capital Group, L.L.C., a Delaware limited liability company ("RESERVOIR CAPITAL") and RCGM, LLC, a Delaware limited liability company ("RCGM"), with respect to the shares of Common Stock, $.001 par value per share, of Luminent Mortgage Capital, Inc. Reservoir PCA was dissolved on December 28, 2006. Prior to such dissolution, Reservoir PCA's limited partners contributed their limited partnership interests in Reservoir PCA into Reservoir PCA Fund (Cayman), L.P., a Cayman Islands limited partnership ("RESERVOIR CAYMAN"), in exchange for limited partnership interests in Reservoir Cayman. The assets of Reservoir PCA (including its membership interest in RMF GP and its limited partnership interest in Reservoir) were distributed to Reservoir Cayman. Item 1. (a) NAME OF ISSUER Luminent Mortgage Capital, Inc. (the "Company"). (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES One Market, Spear Tower, 30th Floor, San Francisco, California 94105. Item 2. (a) NAMES OF PERSONS FILING This Statement is being filed on behalf of each of the following persons (collectively, the "Reporting Persons"): (i) Reservoir, a Delaware limited partnership; (ii) RMF GP, a Delaware limited liability company and the general partner of Reservoir; (iii) Reservoir Cayman, a Cayman Islands limited partnership and the sole member of RMF GP; (iv) Reservoir Capital, a Delaware limited liability company and the general partner of Reservoir Cayman; (v) RCGM, a Delaware limited liability company and the managing member of Reservoir Capital; and (vi) Mr. Daniel Stern, the senior managing member of RCGM ("Mr. Stern"). (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE The address of the principal business offices of each of the Reporting Persons is c/o Reservoir Capital Group, L.L.C. 650 Madison Avenue, 26th Floor, New York, NY 10022. CUSIP No. 550278303 Page 8 of 12 Schedule 13G (c) CITIZENSHIP (i) Reservoir - a Delaware limited partnership (ii) RMF GP - a Delaware limited liability company (iii) Reservoir Cayman - a Cayman Islands limited partnership (iv) Reservoir Capital - a Delaware limited liability company (v) RCGM - a Delaware limited liability company (vi) Mr. Stern - a citizen of the United States of America (d) TITLE OF CLASS OF SECURITIES Common Stock, par value $0.001 per share (the "Common Stock" or "Shares") (e) CUSIP NUMBER 550278303 Item 3. None of the Reporting Persons is a person specified in Rule 13d-1(b). Item 4. OWNERSHIP. (a) AMOUNT BENEFICIALLY OWNED: -0- (b) PERCENTAGE OWNED: -0%- (c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) Sole power to vote or direct the vote: -0- (ii) Shared power to vote or direct the vote: -0- (iii) Sole power to dispose of or direct the disposition of: -0- (iv) Shared power to dispose of or direct the disposition of: -0- CUSIP No. 550278303 Page 9 of 12 Schedule 13G Item 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the Reporting Persons have ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X]. Item 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Not applicable. Item 7. IDENTIFICATION AND CLASSIFICATION OF 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 (b) The following certification shall be included if the statement is filed pursuant to ss.240.13d-1(c): By signing below, each Reporting Person certifies that, to the best of our 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. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] CUSIP No. 550278303 Page 10 of 12 Schedule 13G SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated as of January 30, 2007 RESERVOIR MASTER FUND, L.P. By: RMF GP, LLC, itsGeneral Partner By: /s/ Daniel Stern ------------------------------------------ Name: Daniel Stern Title: Chairman & Chief Executive Officer RMF GP, LLC By: /s/ Daniel Stern ------------------------------------------ Name: Daniel Stern Title: Chairman & Chief Executive Officer RESERVOIR PCA FUND (CAYMAN), L.P. By: Reservoir Capital Group, L.L.C., its General Partner By: /s/ Daniel Stern ------------------------------------------ Name: Daniel Stern Title: Chairman & Chief Executive Officer CUSIP No. 550278303 Page 11 of 12 Schedule 13G RESERVOIR CAPITAL GROUP, L.L.C. By: /s/ Daniel Stern ------------------------------------------ Name: Daniel Stern Title: Chairman & Chief Executive Officer RCGM, LLC By: /s/ Daniel Stern ------------------------------------------ Name: Daniel Stern Title: Chairman & Chief Executive Officer /s/ Daniel Stern --------------------------------------------------- Daniel Stern CUSIP No. 550278303 Page 12 of 12 Schedule 13G EXHIBIT INDEX Exhibit 1. Joint Filing Agreement as required by Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended. EX-99 2 ex-1sc13ga1_lmci.txt EXHIBIT 1 EXHIBIT 1 --------- JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k)(1) The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing statements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning him, her or it contained herein, but shall not be responsible for the completeness and accuracy of the information concerning the other entities or persons, except to the extent that he, she or it knows or has reason to believe that such information is inaccurate. Dated as of January 30, 2007 RESERVOIR MASTER FUND, L.P. By: RMF GP, LLC, itsGeneral Partner By: /s/ Daniel Stern ------------------------------------------ Name: Daniel Stern Title: Chairman & Chief Executive Officer RMF GP, LLC By: /s/ Daniel Stern ------------------------------------------ Name: Daniel Stern Title: Chairman & Chief Executive Officer RESERVOIR PCA FUND (CAYMAN), L.P. By: Reservoir Capital Group, L.L.C., its General Partner By: /s/ Daniel Stern ------------------------------------------ Name: Daniel Stern Title: Chairman & Chief Executive Officer RESERVOIR CAPITAL GROUP, L.L.C. By: /s/ Daniel Stern ------------------------------------------ Name: Daniel Stern Title: Chairman & Chief Executive Officer RCGM, LLC By: /s/ Daniel Stern ------------------------------------------ Name: Daniel Stern Title: Chairman & Chief Executive Officer /s/ Daniel Stern --------------------------------------------------- Daniel Stern -----END PRIVACY-ENHANCED MESSAGE-----