-----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, PbtfPNSZLbpPq3IRr3iueEOQNp2m3FDhjKq6/ckOg8GkSReD0+jVdN+G1G6fB4yH 6I5QGUHpCL37Su2U2zDKOQ== 0000950172-97-000103.txt : 19970225 0000950172-97-000103.hdr.sgml : 19970225 ACCESSION NUMBER: 0000950172-97-000103 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970206 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST UNION REAL ESTATE EQUITY & MORTGAGE INVESTMENTS CENTRAL INDEX KEY: 0000037008 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 346513657 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06249 FILM NUMBER: 97519493 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: APOLLO REAL ESTATE INVESTMENT FUND II L P CENTRAL INDEX KEY: 0001017831 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER IRS NUMBER: 223443725 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O APOLLO REAL ESTATE ADVISORS II LP STREET 2: TWO MANHATTANVILLE ROQD CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: 2128567000 MAIL ADDRESS: STREET 1: C/O APOLLO REAL ESTAE ADVISORS II L P STREET 2: TWO MANHATTANVILLE ROAD CITY: PURCHASE STATE: NY ZIP: 10577 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 |_____________________| or Section 30(f) of the Investment Company Act of 1940 - ---------------------------------------------------------------------------- 1. Name and Address of Reporting Person Apollo Real Estate Investment Fund II, L.P. ------------------------------------------------------------------------- (Last) (First) (Middle) 1301 Avenue of the Americas ------------------------------------------------------------------------- (Street) New York, New York 10019 ------------------------------------------------------------------------- (City) (State) (Zip) - ---------------------------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) 1/27/97 - ---------------------------------------------------------------------------- 3. IRS OR SOCIAL SECURITY NUMBER OF REPORTING PERSON (VOLUNTARY) - ---------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol First Union Real Estate Equity and Mortgage Investments (FURpfA) - ---------------------------------------------------------------------------- 5. RELATIONSHIP OF REPORTING PERSON(S) TO ISSUER (CHECK ALL APPLICABLE) ( ) DIRECTOR (X ) 10% OWNER ( ) OFFICER (GIVE TITLE BELOW) ( ) OTHER (SPECIFY TITLE BELOW) -------------------------------- - ---------------------------------------------------------------------------- 6. IF AMENDMENT, DATE OF ORIGINAL (MONTH/DAY/YEAR) - ---------------------------------------------------------------------------- 7. INDIVIDUAL OR JOINT/GROUP FILING (CHECK APPLICABLE LINE) ___FORM FILED BY ONE REPORTING PERSON X 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) | | |--------------------|---------------|--------------|-----------------------| Shares of Beneficial Interest 280,700 (D) ============================================================================ TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ---------------------------------------------------------------------------- 1. Title of Derivative Security (Instr. 4) Series A Cumulative Convertible Redeemable Preferred Shares of Beneficial Interest - ---------------------------------------------------------------------------- 2. Date Exercisable and Expiration Date (Month/Day/Year) Immediately ---------------- ------------------- Date Exercisable Expiration Date - ---------------------------------------------------------------------------- 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) Shares of Beneficial Interest 744,215 ----------------------------- --------------------------- Title Amount of Number of Shares - ---------------------------------------------------------------------------- 4. Conversion or Exercise Price of Derivative Security $7.5625 - ---------------------------------------------------------------------------- 5. Ownership Form of Derivative Security: Direct(D) or Indirect(I)(Instr. 5) (D) - ---------------------------------------------------------------------------- 6. Nature of Indirect Beneficial Ownership (Instr. 5) ============================================================================ EXPLANATION OF RESPONSES: APOLLO REAL ESTATE INVESTMENT FUND II, L.P. By: Apollo Real Estate Advisors II, L.P., General Partner By: Apollo Real Estate Capital Advisors II, Inc. General Partner By: /s/ Michael D. Weiner Name: Michael D. Weiner Title: Vice President 2/6/97 _____________________________________ _________ ** SIGNATURE OF REPORTING PERSON DATE - ----------------------------- ** INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. SEE 18 U.S.C. 1001 AND 15 U.S.C. 78FF(A). 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 NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB NUMBER. ============================================================================ Joint Filer Information Name: Apollo Real Estate Advisors II, L.P. Address: 1301 Avenue of the Americas New York, New York 10019 Designated Filer: Apollo Real Estate Investment Fund II, L.P. Issuer and Ticket Symbol: First Union Real Estate Equity and Mortgage Investors (FUR) Date of Event Requiring Statement: 1/27/97 Signature: APOLLO REAL ESTATE ADVISORS II, L.P. By: Apollo Real Estate Capital Advisors II, Inc., General Partner By:/s/ Michael D. Weiner -------------------------- Name: Michael D. Weiner Title: Vice President -----END PRIVACY-ENHANCED MESSAGE-----