-----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, DbQB3tVZtMShwDxpsxnYeJ8q8PedTuUzE/BGgaP3XJf8Sq+MjoxKeTkRN6x2KgzW mKdxBep+rptfOkHKPyttvg== 0000950172-98-000502.txt : 19980519 0000950172-98-000502.hdr.sgml : 19980519 ACCESSION NUMBER: 0000950172-98-000502 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980331 FILED AS OF DATE: 19980518 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ANTHRACITE CAPITAL INC CENTRAL INDEX KEY: 0001050112 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 133978906 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: SEC FILE NUMBER: 001-13937 FILM NUMBER: 98626910 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: PNC INVESTMENT CORP CENTRAL INDEX KEY: 0000905582 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER FILING VALUES: FORM TYPE: 3/A BUSINESS ADDRESS: STREET 1: 249 FIFTH AVE. STREET 2: ONE PLAZA, 21ST FLOOR CITY: PITTSBURGH STATE: PA ZIP: 15222 BUSINESS PHONE: 2155855350 3/A 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 PNC Investment Corp. ____________________________________________________________________________ (Last) (First) (Middle) 249 Fifth Avenue, One PNC Plaza, 21st Floor ____________________________________________________________________________ (Street) Pittsburgh PA 15221 ____________________________________________________________________________ (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) Affiliate of Investment Advisor ____________________________________________________________________________ 6. IF AMENDMENT, DATE OF ORIGINAL (MONTH/DAY/YEAR) 04/06/98 ____________________________________________________________________________ 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 648,352 D 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 81,044 $.001 per share (ii) Common Stock, par value 81,044 $.001 per share (iii) Common Stock, par value 81,044 $.001 per share (iv) Common Stock, par value 81,044 $.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 May 18, 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. ============================================================================= -----END PRIVACY-ENHANCED MESSAGE-----