8-K 1 s767825.txt FORM 8-K SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 May 30, 2003 (May 29, 2003) Date of Report (Date of Earliest Event Reported) ANTHRACITE CAPITAL, INC. (Exact name of Registrant as Specified in Charter) Maryland 001-13937 13-397-8906 ------------------------------ ------------------- ------------------ (State or Other Jurisdiction (Commission (IRS Employer of Incorporation) File Number) Identification No.) 40 East 52nd Street, New York, NY 10022 ----------------------------------------- ----------------- (Address of Principal Executive Offices) (Zip Code) Registrant's telephone number, including area code: (212) 409-3333 N/A ------------------------------------------------------------------------------ (Former Name or Former Address, if Changed Since Last Report) Item 5. Other Events On May 23, 2003, Anthracite Capital, Inc. (the "Company") filed a Prospectus Supplement, dated May 21, 2003, to the Prospectus dated April 29, 2002, included as part of the Registration Statement on Form S-3 of the Company (File No. 333-69848) (as amended by post-effective amendment No. 1 thereto, the "Registration Statement"), relating to the offering of up to 2,300,000 shares of the Company's 9.375% Series C Cumulative Redeemable Preferred Stock, par value $0.001 per share (the "Preferred Stock"). On May 21, 2003, the Company entered into an Underwriting Agreement with BlackRock Financial Management, Inc. and Bear, Stearns & Co. Inc., Friedman, Billings, Ramsey & Co., Inc., Stifel, Nicolaus & Company, Incorporated, Advest, Inc., BB&T Capital Markets, a division of Scott & Stringfellow, Inc. and Jefferies & Company, Inc., relating to the offering and sale by the Company of the Preferred Stock under the Registration Statement. In connection with this offering, the Company is filing certain exhibits as part of this Form 8-K. See "Item 7. Exhibits." A copy of certain agreements related to the offering are attached hereto as exhibits and are incorporated by reference in their entirety. Item 7. Financial Statements, Pro Forma Financial Information and Exhibits. (c) Exhibits. Exhibit No. Description -------- ----------- 1.1 Underwriting Agreement, dated May 21, 2003, among Anthracite Capital, Inc., BlackRock Financial Management, Inc. and Bear, Stearns & Co. Inc., Friedman, Billings, Ramsey & Co., Inc., Stifel, Nicolaus & Company, Incorporated, Advest, Inc., BB&T Capital Markets, a division of Scott & Stringfellow, Inc. and Jefferies & Company, Inc. 3.1 Articles Supplementary Relating to the Series C Preferred Stock. 4.1 Form of 9.375% Series C Cumulative Redeemable Preferred Stock Certificate. 5.1 Opinion of Miles & Stockbridge P.C. regarding the legality of the Preferred Stock. Signature Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ANTHRACITE CAPITAL, INC. By: /s/ Robert L. Friedberg ----------------------------- Name: Robert L. Friedberg Title: Vice President and Secretary Dated: May 30, 2003 ANTHRACITE CAPITAL, INC. CURRENT REPORT ON FORM 8-K Report Dated May 30, 2003 (May 29, 2003) EXHIBIT INDEX Exhibit No. Description ---------- ----------- 1.1 Underwriting Agreement, dated May 21, 2003, among Anthracite Capital, Inc., BlackRock Financial Management, Inc. and Bear, Stearns & Co. Inc., Friedman, Billings, Ramsey & Co., Inc., Stifel, Nicolaus & Company, Incorporated, Advest, Inc., BB&T Capital Markets, a division of Scott & Stringfellow, Inc. and Jefferies & Company, Inc. 3.1 Articles Supplementary Relating to the Series C Preferred Stock. 4.1 Form of 9.375% Series C Cumulative Redeemable Preferred Stock Certificate. 5.1 Opinion of Miles & Stockbridge P.C. regarding the legality of the Preferred Stock.