-----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, MNWhwCr5BJMaQ5ooL3gDVbQXt3ay/2QIb0t3jGau5S6jC12yqHGT1U9BCeiS6YW8 BbXZzLUGmt++gmg0mzsOnw== 0000950127-02-000145.txt : 20020414 0000950127-02-000145.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950127-02-000145 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020211 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DEUTSCHE BANK AG\ CENTRAL INDEX KEY: 0000948046 IRS NUMBER: 13294498 STATE OF INCORPORATION: I8 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: TAUNUSANLAGE 12 D-60325 CITY: FRANKFURT AM MAIN GE STATE: I8 MAIL ADDRESS: STREET 1: TAUNUSANLAGE 12 D-60325 CITY: FRANKFURT AM MAIN STATE: I8 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST UNION REAL ESTATE EQUITY & MORTGAGE INVESTMENTS CENTRAL INDEX KEY: 0000037008 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 346513657 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-19676 FILM NUMBER: 02533681 BUSINESS ADDRESS: STREET 1: 551 FIFTH AVE STREET 2: STE 1416 CITY: NEW YORK STATE: NY ZIP: 10176 BUSINESS PHONE: 2129051104 MAIL ADDRESS: STREET 1: 551 FIFTH AVE STREET 2: SUITE 1416 CITY: NEW YORK STATE: NY ZIP: 10176 FORMER COMPANY: FORMER CONFORMED NAME: FIRST UNION REALTY DATE OF NAME CHANGE: 19691012 SC 13G/A 1 a02-075.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ---------------- SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1) First Union Real Estate Equity and Mortgage Investments - -------------------------------------------------------------------------------- (Name of issuer) Shares of Beneficial Interest, par value $1.00 per share - -------------------------------------------------------------------------------- (Title of class of securities) 337400105 - -------------------------------------------------------------------------------- (CUSIP number) December 31, 2001 - -------------------------------------------------------------------------------- (Date of Event which requires filing of this Statement) Check the appropriate box to designate the rule pursuant to which this schedule is filed: /X/ Rule 13d-1 (b) /_/ Rule 13d-1 (c) /_/ Rule 13d-1 (d) - ---------------------- --------------------- CUSIP No. 337400105 13G Page 2 of 6 Pages - ---------------------- --------------------- - -------- ----------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Deutsche Bank AG - -------- ----------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) /_/ (b) /_/ - -------- ----------------------------------------------------------------------- 3 SEC USE ONLY - -------- ----------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Federal Republic of Germany - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 788,500 NUMBER OF SHARES ------ -------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6 0 EACH ------ -------------------------------------------- REPORTING SOLE DISPOSITIVE POWER PERSON WITH 7 788,500 ------ -------------------------------------------- SHARED DISPOSITIVE POWER 8 0 - -------- ----------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 788,500 - -------- ----------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES /_/ - -------- ----------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.3% - -------- ----------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON HC, BK, CO - -------- ----------------------------------------------------------------------- Item 1(a). Name of Issuer: First Union Real Estate Equity and Mortgage Investments (the "Issuer") Item 1(b). Address of Issuer's Principal Executive Offices: The address of the Issuer's principal executive offices is 1212 Avenue of the Americas, 18th Floor, New York, New York 10036. Item 2(a). Name of Person Filing: This statement is filed on behalf of Deutsche Bank AG (the "Reporting Person"). Item 2(b). Address of Principal Business Office or, if none, Residence: The principal place of business of the Reporting Person is Taunusanlage 12, 60325 Frankfurt am Main, Federal Republic of Germany. Item 2(c). Citizenship: The citizenship of the Reporting Person is set forth on the cover page. Item 2(d). Title of Class of Securities: The title of the securities is Shares of Beneficial Interest (the "Shares of Beneficial Interest"). Item 2(e). CUSIP Number: The CUSIP number of the Shares of Beneficial Interest is set forth on the cover page. 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) /X/ 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 of 1940; - ------------------ * The Reporting Person, a banking institution organized under the laws of the Federal Republic of Germany, is filing this Schedule 13G/A under Rule 13d-1(b) as a "bank" in reliance upon the letter of the Securities and Exchange Commission to Deutsche Bank AG dated April 14, 1994. (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 of 1940; (j) /_/ Group, in accordance with Rule 13d-1 (b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1 (c), check this box. /_/ Item 4. Ownership. (a) Amount beneficially owned: The Reporting Person owns the amount of the Shares of Beneficial Interest as set forth on the cover page. (b) Percent of class: The Reporting Person owns the percentage of the Shares of Beneficial Interest as set forth on the cover page. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: The Reporting Person has the sole power to vote or to direct the vote of the Shares of Beneficial Interest as set forth on the cover page. (ii) shared power to vote or to direct the vote: The Reporting Person has the shared power to vote or to direct the vote of the Shares of Beneficial Interest as set forth on the cover page. (iii) sole power to dispose or to direct the disposition of: The Reporting Person has the sole power to dispose or direct the disposition of the Shares of Beneficial Interest as set forth on the cover page. (iv) shared power to dispose or to direct the disposition of: The Reporting Person has the shared power to dispose or to direct the disposition of the Shares of Beneficial Interest as set forth on the cover page. 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 owners 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 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. Dated: February 11, 2002 DEUTSCHE BANK AG By: /s/ Jeffrey A. Ruiz ------------------------------- Name: Jeffrey A. Ruiz Title: Vice President By: /s/ Margaret M. Adams ------------------------------- Name: Margaret M. Adams Title: Director -----END PRIVACY-ENHANCED MESSAGE-----