-----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, VtLvjiECci2pC6kB3Eudrcgk8sqqvOg29iulYNHOkYc2PvC1v1NaqO4rNoTXSPBk MFWIZTl/QB/YmGE+lK12fQ== 0001144204-08-022711.txt : 20080415 0001144204-08-022711.hdr.sgml : 20080415 20080415210302 ACCESSION NUMBER: 0001144204-08-022711 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20080404 FILED AS OF DATE: 20080415 DATE AS OF CHANGE: 20080415 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ANTHRACITE CAPITAL INC CENTRAL INDEX KEY: 0001050112 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 133978906 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 40 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127545560 MAIL ADDRESS: STREET 1: 40 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: ANTHRACITE MORTGAGE CAPITAL INC DATE OF NAME CHANGE: 19971121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CREDIT SUISSE/ CENTRAL INDEX KEY: 0000824468 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13937 FILM NUMBER: 08758675 BUSINESS ADDRESS: STREET 1: PO BOX 900 STREET 2: FHLS CITY: ZURICH STATE: V8 ZIP: CH 8070 BUSINESS PHONE: 41 1 212 16 16 MAIL ADDRESS: STREET 1: PO BOX 900 CITY: ZURICH STATE: V8 ZIP: CH 8070 FORMER NAME: FORMER CONFORMED NAME: CREDIT SUISSE FIRST BOSTON/ DATE OF NAME CHANGE: 19970211 FORMER NAME: FORMER CONFORMED NAME: CREDIT SUISSE DATE OF NAME CHANGE: 19921119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DLJ Real Estate Capital IV, Inc. CENTRAL INDEX KEY: 0001432292 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13937 FILM NUMBER: 08758676 BUSINESS ADDRESS: STREET 1: C/O DLJ REAL ESTATE CAPITAL PARTNERS INC STREET 2: ELEVEN MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 212-538-7118 MAIL ADDRESS: STREET 1: C/O DLJ REAL ESTATE CAPITAL PARTNERS INC STREET 2: ELEVEN MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10010 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DLJ Real Estate Capital IV, L.P. CENTRAL INDEX KEY: 0001432293 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13937 FILM NUMBER: 08758677 BUSINESS ADDRESS: STREET 1: C/O DLJ REAL ESTATE CAPITAL PARTNERS INC STREET 2: ELEVEN MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 212-538-7118 MAIL ADDRESS: STREET 1: C/O DLJ REAL ESTATE CAPITAL PARTNERS INC STREET 2: ELEVEN MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10010 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DLJ REAL ESTATE CAPITAL PARTNERS IV LP CENTRAL INDEX KEY: 0001423653 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13937 FILM NUMBER: 08758678 BUSINESS ADDRESS: STREET 1: 11 MADISON AVENUE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 212-538-7118 MAIL ADDRESS: STREET 1: 11 MADISON AVENUE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RECP IV Cite CMBS Equity, L.P. CENTRAL INDEX KEY: 0001432352 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13937 FILM NUMBER: 08758679 BUSINESS ADDRESS: STREET 1: C/O DLJ REAL ESTATE CAPITAL PARTNERS INC STREET 2: ELEVEN MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 212-538-7118 MAIL ADDRESS: STREET 1: C/O DLJ REAL ESTATE CAPITAL PARTNERS INC STREET 2: ELEVEN MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10010 3 1 v110814_ex.xml X0202 3 2008-04-04 0 0001050112 ANTHRACITE CAPITAL INC AHR 0001432352 RECP IV Cite CMBS Equity, L.P. C/O DLJ REAL ESTATE CAPITAL PARTNERS INC ELEVEN MADISON AVENUE NEW YORK NY 10010 0 0 1 0 0001423653 DLJ REAL ESTATE CAPITAL PARTNERS IV LP 11 MADISON AVENUE 16TH FLOOR NEW YORK NY 10010 0 0 1 0 0001432293 DLJ Real Estate Capital IV, L.P. C/O DLJ REAL ESTATE CAPITAL PARTNERS INC ELEVEN MADISON AVENUE NEW YORK NY 10010 0 0 1 0 0001432292 DLJ Real Estate Capital IV, Inc. C/O DLJ REAL ESTATE CAPITAL PARTNERS INC ELEVEN MADISON AVENUE NEW YORK NY 10010 0 0 1 0 0000824468 CREDIT SUISSE/ 11 MADISON AVENUE NEW YORK NY 10010 0 0 1 0 Common Stock 3494021 D 12% Series E-1 Cumulative Convertible Redeemable Pref. Stock 7.4928 2008-04-04 Common Stock 3119661.67 D 12% Series E-2 Cumulative Convertible Redeemable Pref. Stock 7.4928 2008-04-04 Common Stock 3119661.67 D 12% Series E-3 Cumulative Convertible Redeemable Pref. Stock 7.4928 2008-04-04 Common Stock 3119661.67 D See Exhibit 99.1 The shares of Common Stock, Series E-1 Cumulative Convertible Redeemable Preferred Stock, Series E-2 Cumulative Convertible Redeemable Preferred Stock and Series E-3 Cumulative Convertible Redeemable Preferred Stock are held by RECP IV Cite CMBS Equity, L.P. N/A RECP IV Cite CMBS Equity, L.P. - By: RECP IV Cite CMBS Investors, L.L.C. - /s/ James D. Allen (Vice President) 2008-04-14 DLJ REAL ESTATE CAPITAL PARTNERS IV, L.P. - By: DLJ Real Estate Capital IV, L.P.,(its general partner), By: DLJ Real Estate Capital IV, Inc.,(its general partner) - /s/ James D. Allen (Vice President) 2008-04-14 DLJ REAL ESTATE CAPITAL IV, L.P. - By: DLJ Real Estate Capital IV, Inc.,(its general partner) - /s/ James D. Allen (Vice President) 2008-04-14 DLJ REAL ESTATE CAPITAL IV, INC - /s/ James D. Allen (Vice President) 2008-04-14 CREDIT SUISSE - /s/ Ivy Dodes (Managing Director) 2008-04-14 EX-99.1 2 v110814_ex99-1.htm Unassociated Document
Exhibit 99.1

This Statement is being jointly filed by: (i) RECP IV Cite CMBS Equity, L.P., a Delaware limited partnership (“RECP IV Cite CMBS”), (ii) DLJ Real Estate Capital Partners IV, L.P., a Delaware limited partnership (“RECP IV”), (iii) DLJ Real Estate Capital IV, L.P., a Delaware limited partnership (“REC IV”), (iv) DLJ Real Estate Capital IV, Inc., a Delaware corporation (“REC IV Inc.” and together with RECP IV Cite CMBS, RECP IV and REC IV, the “RECP Entities” ) and (v) Credit Suisse, a Swiss bank (the “Bank” and together with the RECP Entities, the “Reporting Persons”), on behalf of its subsidiaries to the extent that they constitute the Investment Banking division (the “Investment Banking division”), the Alternative Investments business (the “AI Business”) within the Asset Management division (the “Asset Management division”) and the U.S. private client services business (the “U.S. PCS Business”) within the Private Banking division (the “Private Banking division”). The address of the Bank’s principal business and office is Uetlibergstrasse 231, P.O. Box 900, CH 8070 Zurich, Switzerland. The address of the Bank’s principal business and office in the United States and the RECP Entities’ principal business and office is Eleven Madison Avenue, New York, New York 10010.

RECP IV Cite CMBS made an investment in the securities to which this Form 3 relates. RECP IV is the sole member of RECP IV Cite CMBS Investors, L.L.C., a Delaware limited liability company (“RECP IV Cite CMBS GP”), which is the general partner of RECP IV Cite CMBS and makes all investment decisions on behalf of RECP IV Cite CMBS. RECP IV makes investments for long-term appreciation. REC IV is the general partner of RECP IV. REC IV exercises its investment acquisition and disposition power through an investment committee consisting of four members selected by REC IV. REC IV’s general partner is REC IV Inc. REC IV Inc. is a wholly-owned subsidiary of Credit Suisse Private Equity, Inc., a Delaware corporation (“CSPE Inc.”). Credit Suisse Holdings (USA), Inc., a Delaware corporation and holding company (“CS Hldgs USA Inc.”), owns all of the voting stock of Credit Suisse (USA), Inc., a Delaware corporation and holding company (“CS USA Inc.”). CS USA Inc. owns all the voting stock of CSPE Inc.

The Bank owns directly a majority of the voting stock, and all of the non-voting stock, of CS Hldgs USA Inc. The address of CS Hldgs USA Inc.’s principal business and office is Eleven Madison Avenue, New York, New York 10010. The ultimate parent company of the Bank and CS Hldgs USA Inc., and the direct owner of the remainder of the voting stock of CS Hldgs USA Inc., is Credit Suisse Group, a corporation formed under the laws of Switzerland (“CSG”).

CSG is a global financial services company, active in all major financial centers and providing a comprehensive range of banking products. The Bank is comprised of the Investment Banking division, the Asset Management division and the Private Banking division. The Investment Banking division provides financial advisory and capital raising services and sales and trading to institutional, corporate and government clients worldwide. The Asset Management division provides asset management and investment advisory services to institutional, mutual fund and private investors worldwide and offers products across a broad range of investment classes, including alternative investments. The Private Banking division offers global private banking and corporate and retail banking services in Switzerland. CSG’s business address is Paradeplatz 8, P.O. Box 1, CH 8070 Zurich, Switzerland.
 
CSG, as the ultimate parent company of the Bank and CS Hldgs USA Inc., for purposes of the federal securities laws, may be deemed ultimately to control the Reporting Persons. CSG, its executive officers and directors, and its direct and indirect subsidiaries (including those subsidiaries that constitute the Asset Management division (other than the AI Business) (the “Traditional AM Business”) and the Private Banking division (other than the U.S. PCS Business) (the “Non-U.S. PB Business”)) may be deemed to beneficially own the securities to which this Form 3 relates. CSG, the Traditional AM Business and the Non-U.S. PB Business disclaim beneficial ownership of such securities.

 
 
 


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