-----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, Lvo2WqIo27L3xRj3R9waaprv9ac/O32eKII/0u48u4Dwy1SrK3+l3PikC3WGBnzU 9R2yKxM1h20aBUNhwJW9sg== 0001104659-03-022304.txt : 20031006 0001104659-03-022304.hdr.sgml : 20031006 20031006171609 ACCESSION NUMBER: 0001104659-03-022304 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030925 FILED AS OF DATE: 20031006 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TCW GROUP INC CENTRAL INDEX KEY: 0000850401 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13485 FILM NUMBER: 03930187 BUSINESS ADDRESS: STREET 1: 865 SOUTH FIGUEROA ST CITY: LOS ANGELES STATE: CA ZIP: 90017 MAIL ADDRESS: STREET 1: 865 SOUTH FIGUEROA STREET STREET 2: 865 SOUTH FIGUEROA STREET CITY: LOS ANGELES STATE: CA ZIP: 90017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN RESIDENTIAL INVESTMENT TRUST INC CENTRAL INDEX KEY: 0001035744 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 330741174 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 445 MARINE VIEW AVE SUITE 230 STREET 2: STE 260 CITY: DEL MAR STATE: CA ZIP: 92014 BUSINESS PHONE: 6193505008 MAIL ADDRESS: STREET 1: 445 MARINE VIEW AVE SUITE 230 CITY: DEL MAR STATE: CA ZIP: 92014 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TCW CRESCENT MEZZANINE LLC CENTRAL INDEX KEY: 0001145260 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13485 FILM NUMBER: 03930184 BUSINESS ADDRESS: STREET 1: 865 SOUTH FIGUEROA STREET, 18TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 2132440000 MAIL ADDRESS: STREET 1: 865 SOUTH FIGUEROA STREET 18TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TCW ASSET MANAGEMENT CO CENTRAL INDEX KEY: 0000096616 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13485 FILM NUMBER: 03930185 BUSINESS ADDRESS: STREET 1: 865 S FIGUEROA STREET STE 1800 CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 2132440000 MAIL ADDRESS: STREET 1: 865 SOUTH FIGUEROA STREET 18TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90017 FORMER NAME: FORMER CONFORMED NAME: SHAREHOLDERS ASSET MANAGEMENT CO DATE OF NAME CHANGE: 19750317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TCW INVESTMENT MANAGEMENT CO CENTRAL INDEX KEY: 0001145263 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13485 FILM NUMBER: 03930186 BUSINESS ADDRESS: STREET 1: 865 SOUTH FIGUEROA STREET, 18TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 2132440000 MAIL ADDRESS: STREET 1: 865 SOUTH FIGUEROA STREET 18TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90017 3 1 a3.xml 3 X0201 3 2003-09-25 0 0001035744 AMERICAN RESIDENTIAL INVESTMENT TRUST INC INV 0000850401 TCW GROUP INC 865 SOUTH FIGUEROA STREET 865 SOUTH FIGUEROA STREET LOS ANGELES CA 90017 0 0 1 0 0001145263 TCW INVESTMENT MANAGEMENT CO 865 SOUTH FIGUEROA STREET 18TH FLOOR LOS ANGELES CA 90017 0 0 1 0 0000096616 TCW ASSET MANAGEMENT CO 865 SOUTH FIGUEROA STREET 18TH FLOOR LOS ANGELES CA 90017 0 0 1 0 0001145260 TCW CRESCENT MEZZANINE LLC 865 SOUTH FIGUEROA STREET 18TH FLOOR LOS ANGELES CA 90017 0 0 1 0 Common Stock, $.01 par value 1600000 I See Footnotes Options exercisable for Common Stock 9.72 2003-06-19 2013-06-19 Common Stock, $.01 par value 7500 I See Footnotes Options exercisable for Common Stock 3.30 2002-07-19 2012-07-19 Common Stock, $.01 par value 7500 I See Footnotes Options exercisable for Common Stock 1.65 2001-12-11 2011-12-11 Common Stock, $.01 par value 7500 I See Footnotes The shares of Common Stock, $.01 par value, reported above are owned directly by Home Asset Management Corporation, a Delaware corporation ("HAMCO"). The shares are indirectly held by others to the extent described below. On September 25, 2003, as more fully described in the Schedule 13D filed by the Reporting Persons on October 6, 2003, all of the issued and outstanding shares of voting common stock of HAMCO ("HAMCO Shares") were acquired by TCW/Crescent Mezzanine Partners, L.P. , a Delaware limited partnership ("Partners"), TCW/Crescent Mezzanine Investment Partners, L.P. , a Delaware limited partnership ("Investment Partners"), TCW/Crescent Mezzanine Trust, a Delaware business trust ("Trust"), TCW Shared Opportunity Fund II, L.P., a Delaware limited partnership ("SHOP"), and Crescent/Mach I Partners, L.P., a Delaware limited partnership ("CMI", and, together with Partners, Investment Partners, Trust and SHOP, the "Funds"). The HAMCO Shares were acquired by the Funds in the following amounts: CMI acquired 80,000 HAMCO Shares, Investment Partners acquired 14,445 HAMCO Shares, Partners acquired 528,644 HAMCO Shares, Trust acquired 160,911 HAMCO Shares and SHOP acquired 16,000 HAMCO Shares. The Funds have delegated all disposition and voting discretion to their respective Investment Advisor (described below), and thus disclaim any beneficial ownership of the securities reported herein. TCW/Crescent Mezzanine, LLC, a Delaware limited liability company ("Mezzanine"), is the General Partner of Partners and Investment Partners, the Managing Owner of Trust, and the Investment Advisor to each of Partners, Investment Partners and Trust, and disclaims beneficial ownership of securities reported as indirectly owned except to the extent of its pecuniary interest as General Partner or Managing Owner, as applicable. TCW Investment Management Company, a California corporation ("TIMCO"), is the General Partner of and Investment Advisor to SHOP, and disclaims beneficial ownership of securities reported as indirectly owned except to the extent of its pecuniary interest as General Partner. TCW Asset Management Company, a California corporation ("TAMCO"), is the Investment Advisor to CMI, and disclaims beneficial ownership of securities reported as indirectly owned except to the extent of any pecuniary interest. TAMCO and TIMCO are wholly owned by The TCW Group, Inc., a Nevada corporation ("Group", and together with Mezzanine, TIMCO and TAMCO, the "Reporting Persons"), which disclaims beneficial ownership of securities reported as indirectly owned except to the extent of any pecuniary interest in TAMCO or TIMCO by virtue of Group's ownership thereof. The Reporting Persons are making this single, joint filing because they may be deemed to constitute a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, although neither the fact of this filing nor anything contained herein shall be deemed to be an admission by the Reporting Persons that such a group exists. Group, together with its direct and indirect subsidiaries, collectively constitute The TCW Group, Inc. business unit (the "TCW Business Unit"). The TCW Business Unit is primarily engaged in the provision of investment management services. The ultimate parent company of Group is Soci??t?? G??n??rale, S.A., a company incorporated under the laws of France ("SG"). The principal business of SG is acting as a holding company for a global financial services group, which includes certain distinct specialized business units that are independently operated, including the TCW Business Unit. SG, for purposes of the federal securities laws, may be deemed ultimately to control Group and the TCW Business Unit. SG, its executive officers and directors, and its direct and indirect subsidiaries (including all of its business units except the TCW Business Unit), may beneficially own securities of the Issuer and such securities are not reported in this statement. In accordance with Exchange Act Release No. 34-39538 (January 12, 1998) and due to the separate management and independent operation of its business units, SG disclaims beneficial ownership of securities of the Issuer beneficially owned by the TCW Business Unit. Each member of the TCW Business Unit disclaims beneficial ownership of securities of the Issuer beneficially owned by SG and any of SG's other business units. The options to purchase Common Stock reported above are owned directly by John C. Rocchio, who is a Managing Director of entities affiliates with the Reporting Persons. Pursuant to the organizational documents and policies of the Funds, the Funds are entitled to the economic benefits of all options granted to Group personnel who serve as directors of portfolio companies. As a result, John C. Rocchio disclaims beneficial ownership of the reported securities. Linda Barker, Authorized Signatory of each Reporting Person 2003-10-06 -----END PRIVACY-ENHANCED MESSAGE-----