-----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, GzPSavvL0kQ9N89ILj7cxEhqRANAqHs6rhBs1dtWqS8KBBZVYZMybH0T5CvS5Vjh QtTkmWkjMFbCvYnhaR/8mw== 0000919574-99-001301.txt : 19991123 0000919574-99-001301.hdr.sgml : 19991123 ACCESSION NUMBER: 0000919574-99-001301 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991031 FILED AS OF DATE: 19991110 DATE AS OF CHANGE: 19991122 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST UNION REAL ESTATE EQUITY & MORTGAGE INVESTMENTS CENTRAL INDEX KEY: 0000037008 STANDARD INDUSTRIAL CLASSIFICATION: 6798 IRS NUMBER: 346513657 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-06249 FILM NUMBER: 99747452 BUSINESS ADDRESS: STREET 1: 55 PUBLIC SQUARE STREET 2: STE 1900 CITY: CLEVELAND STATE: OH ZIP: 44113 BUSINESS PHONE: 2167814030 MAIL ADDRESS: STREET 1: 55 PUBLIC SQUARE SUITE 1910 CITY: CLEVELAND STATE: OH ZIP: 44113 FORMER COMPANY: FORMER CONFORMED NAME: FIRST UNION REALTY DATE OF NAME CHANGE: 19691012 COMPANY DATA: COMPANY CONFORMED NAME: EMBRY TALTON R CENTRAL INDEX KEY: 0001025165 STANDARD INDUSTRIAL CLASSIFICATION: OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O MAGTEN ASSET MANAGEMENT CORP STREET 2: 35 EAST 21ST ST CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 2125296600 MAIL ADDRESS: STREET 1: C/O MAGTEN ASSET MANAGEMENT CORP STREET 2: 35 EAST 21ST ST CITY: NEW YORK STATE: NY ZIP: 10010 4 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). 1. Name and Address of Reporting Person Talton R. Embry c/o Magten Asset Management Corp. 35 E. 21st St. New York, New York 2. Issuer Name and Ticker or Trading Symbol First Union Real Estate Equity and Mortgage Investments FUR 3. IRS Number of Reporting Person (Voluntary) 4. Statement for Month/Year 10/99 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s)to Issuer (Check all applicable) ( ) Director (X) 10% Owner* ( ) Officer (give title below) ( ) Other (specify below) 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 ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED 1. Title of Security| 2. Transaction| 3. Transaction| 4. Securities | 5. Amount of | 6. Ownership |7. Nature of | (Instr. 3) | Date | Code | Acquired (A) | Securities | Form: | Indirect | | | (Instr. 8) | or Disposed | Beneficially | Direct (D) | Beneficial| | (Month/ | | of (D) | Owned at End | or Indirect| Ownership | | Day/ | | (Instr. 3,4, | of Month | (I) | (Instr. 4)| | Year) | | and 5) | (Instr. 3 and 4)| (Instr. 4) | | | | | | |(A) or| | | | | | | Code | V | Amount|(D) |Price| | | | _________________________________________________________________________________________________________________________________ 290,780 D 45,500** I By Wife 65,100** I By Son 43,400** I By Daughter 570,455** I By Trust 245,848** I By Trust 188,309** I By Trust 235,508** I By Trust Common Stock 10/31/99 J*** 102** N/A N/A 4,692** I By Corporation Common Stock 10/31/99 J*** 2** N/A N/A 13,406** I By Partnership
TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED 1. Title of | 2. Conver- | 3. Trans- | 4. Trans- | 5. Number of | 6. Date Exer- | 7. Title and Amount | Derivative | sion or | action | action | Derivative | cisable and | of Underlying | Security | Exercise | Date | Code | Securities | Expiration | Securities | (Instr. 3) | Price of | (Month/ | (Instr. | Acquired | Date | (Instr. 3 and 4) | | Deri- | Date/ | 8) | (A) or | (Month/Day/ | | | vative | Year) | | Disposed of | Year) | | | Security | | | (D) (Instr. | | | | | | | 3, 4 and 5) | | | | | |____________|_________________|___________________|_____________________| | | | | | | | | | | | | | | | | | | Date | Expira- | | Amount or | | | | | | | | Exer- | tion | | Number of | | | | Code | V | (A) | (D) | cisable | Date | Title | Shares | ___________________|_____________|____________|______|_____|________|________|_________|_________|________|____________|
| 8. Price of | 9. Number of | 10. Ownership | 11. Nature of | | Derivative | derivative | Form of | Indirect | | Security | Securities | Derivative | Beneficial | | (Instr. 5) | Benefi- | Security | Ownership | | | cially | Direct (D) | (Instr. 4) | | | Owned at | or Indirect | | | | End of | (I) (Instr. | | | | Month | 4) | | | | (Instr. 4) | | | |_______________________|___________________|___________________|_________________|
Explanation of Responses: * The Reporting Person may be deemed to be a member of a group holding equity securities of the Issuer. The filing of this report shall not be deemed to be an admission that the Reporting Person is a member of such a group. ** The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. *** These securities were transferred from an account of an affiliate of the Reporting Person. Signature of Reporting Person: /s/ Talton R. Embry __________________________ Date: November 10, 1999 **** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 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 is sufficient, see Instruction 6 for procedure. 01651001.AR2 -----END PRIVACY-ENHANCED MESSAGE-----