-----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, F2GAXr6xWeMIxgQHBU/fj2k8+NSJ6DoCBv8mmCl8FGr4k9GLF3BdUYGOOmcY2PF3 eyv/eHA+z01Na2LygrqU3w== 0000950172-98-000339.txt : 19980409 0000950172-98-000339.hdr.sgml : 19980409 ACCESSION NUMBER: 0000950172-98-000339 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980327 FILED AS OF DATE: 19980406 DATE AS OF CHANGE: 19980408 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ANTHRACITE CAPITAL INC CENTRAL INDEX KEY: 0001050112 STANDARD INDUSTRIAL CLASSIFICATION: 6162 IRS NUMBER: 133978906 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-13937 FILM NUMBER: 98588618 BUSINESS ADDRESS: STREET 1: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 2127545560 MAIL ADDRESS: STREET 1: 345 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10154 FORMER COMPANY: FORMER CONFORMED NAME: ANTHRACITE MORTGAGE CAPITAL INC DATE OF NAME CHANGE: 19971121 COMPANY DATA: COMPANY CONFORMED NAME: GORDON FRANK CENTRAL INDEX KEY: 0001059231 STANDARD INDUSTRIAL CLASSIFICATION: OTHER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 1365 YORK AVENUE, APT. 7M CITY: NEW YORK STATE: NY ZIP: 10021 MAIL ADDRESS: STREET 1: 1365 YORK AVENUE, APT 7M CITY: NEW YORK STATE: NY ZIP: 10021 3 1 FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION _____________________ WASHINGTON, D.C. 20549 | OMB APPROVAL | INITIAL STATEMENT OF |_____________________| BENEFICIAL OWNERSHIP OF SECURITIES |OMB NUMBER: 3235-0104| |EXPIRES: | | SEPTEMBER 30, 1998 | Filed pursuant to Section 16(a) of the |ESTIMATED AVERAGE | Securities Exchange Act of 1934, |BURDEN HOURS | Section 17(a) of the Public Utility |PER RESPONSE 0.5 | Holding Company Act of 1935 |_____________________| Section 30(f) of the Investment Company Act of 1940 ____________________________________________________________________________ 1. Name and Address of Reporting Person Gordon Frank D. ____________________________________________________________________________ (Last) (First) (Middle) 1365 York Avenue, Apt. 7M ____________________________________________________________________________ (Street) New York NY 10021 ____________________________________________________________________________ (City) (State) (Zip) ____________________________________________________________________________ 2. Date of Event Requiring Statement (Month/Day/Year) March 27, 1998 ____________________________________________________________________________ 3. IRS OR SOCIAL SECURITY NUMBER OF REPORTING PERSON (VOLUNTARY) ____________________________________________________________________________ 4. Issuer Name and Ticker or Trading Symbol Anthracite Capital, Inc. ("AHR") ____________________________________________________________________________ 5. RELATIONSHIP OF REPORTING PERSON(S) TO ISSUER (CHECK ALL APPLICABLE) ( ) DIRECTOR ( ) 10% OWNER ( ) OFFICER (GIVE TITLE BELOW) (XX) OTHER (SPECIFY TITLE BELOW) Controller of Investment Advisor ____________________________________________________________________________ 6. IF AMENDMENT, DATE OF ORIGINAL (MONTH/DAY/YEAR) ____________________________________________________________________________ 7. INDIVIDUAL OR JOINT/GROUP FILING (CHECK APPLICABLE LINE) X FORM FILED BY ONE REPORTING PERSON ___FORM FILED BY MORE THAN ONE REPORTING PERSON ============================================================================ TABLE I - NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED ____________________________________________________________________________ |1. TITLE OF SECURITY|2. AMOUNT OF |3. OWNERSHIP |4. NATURE OF INDIRECT | | (INSTR. 4) | SECURITIES | FORM DIRECT| BENEFICIAL OWNERSHIP| | | BENEFICIALLY| DIRECT (D) | (INSTR. 5) | | | OWNED | OR INDIRECT| | | | (INSTR. 4) | (I) (INSTR.| | | | | 5) | | |____________________|_______________|______________|_______________________| Common Stock, par 0 N/A N/A value $.001 per share ============================================================================ TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ____________________________________________________________________________ 1. Title of Derivative Security (Instr. 4) Stock Option (Right to Buy) ____________________________________________________________________________ 2. Date Exercisable and Expiration Date (Month/Day/Year) (i) 03/27/99 03/27/2008 (ii) 03/27/2000 03/27/2008 (iii) 03/27/2001 03/27/2008 (iv) 03/27/2002 03/27/2008 ________________________ _________________________ Date Exercisable Expiration Date ____________________________________________________________________________ 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) (i) Common Stock, par value 7,500 $.001 per share (ii) Common Stock, par value 7,500 $.001 per share (iii) Common Stock, par value 7,500 $.001 per share (iv) Common Stock, par value 7,500 $.001 per share ________________________________ _______________________________ Title Amount of Number of Shares ____________________________________________________________________________ 4. Conversion or Exercise Price of Derivative Security (i) $15.00 (ii) $15.00 (iii) $15.00 (iv) $15.00 ____________________________________________________________________________ 5. Ownership Form of Derivative Security: Direct(D) or Indirect(I)(Instr. 5) D ____________________________________________________________________________ 6. Nature of Indirect Beneficial Ownership (Instr. 5) N/A ============================================================================ EXPLANATION OF RESPONSES: /s/ Richard M. Shea April 6, 1998 ________________________ _________________ Attorney-in-Fact DATE ** SIGNATURE OF REPORTING PERSON _____________________________ ** INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. SEE 18 U.S.C. 1001 AND 15 U.S.C. 78FF(A). NOTE: FILE THREE COPIES OF THIS FORM, ONE OF WHICH MUST BE MANUALLY SIGNED. IF SPACE PROVIDED IS INSUFFICIENT, SEE INSTRUCTION 6 FOR PROCEDURE POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOR REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB NUMBER. ============================================================================= AUTHORIZATION TO SIGN FORM 3 - INITIAL STATEMENT OF BENEFICIAL OWNERSHIP FORM 4 - STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP The undersigned hereby authorizes each of Hugh R. Frater and Richard M. Shea individually to sign Form 3 - Initial Statement of Beneficial Ownership and Form 4 - Statement of Changes in Beneficial Ownership required to be filed on my behalf with respect to Anthracite Capital, Inc. This authorization acknowledges authorization to file reports commencing the date hereof. This authorization shall continue until revoked by the undersigned. Dated: April 1, 1998 /s/ Frank D. Gordon ___________________________ Name: Frank D. 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