-----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, BFPeHUuD6QzNV3Tyz3jH/h9G4nnc0ns2jVkkrFRbJyCTgAt8CmP3Ms6zEP6T3mB3 n7kdSurK8sw0oFhwy+X5Uw== 0001033050-02-000002.txt : 20020414 0001033050-02-000002.hdr.sgml : 20020414 ACCESSION NUMBER: 0001033050-02-000002 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020228 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GROSFELD JAMES CENTRAL INDEX KEY: 0001033050 IRS NUMBER: 092300377 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O MERRILL LYNCH ASSET MANAGEMENT STREET 2: 800 SCUDDERS MILL RD LEGAL ADVISORY 2-B CITY: PLAINSBORO STATE: NJ ZIP: 08536 MAIL ADDRESS: STREET 1: C/O MERRILL LYNCH ASSET MANAGEMENT STREET 2: 800 SCUDDERS MILL RD LEGAL ADVISORY 2-B CITY: PLAINSBORO STATE: NJ ZIP: 08536 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-54179 FILM NUMBER: 02562139 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 SC 13G 1 jgros.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* Anthracite Capital, Inc. - ----------------------------------------------------- (Name of Issuer) Common Stock ---------------------------------------------------- (Title of Class of Securities) 037023108000 - ----------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued in the following page(s)) Page 1 of 5 Pages CUSIP No.037023108000 Schedule 13G - ------------------------------------------------------------------ 1. NAME OF REPORTING PERSON AND SS OR IRS IDENTIFICATION NO. OF PERSON James Grosfeld ###-##-#### Nancy Grosfeld ###-##-#### - ------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - ------------------------------------------------------------------ 3. SEC USE ONLY - ------------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------ 5. SOLE VOTING POWER 0 - ------------------------------------------------------------------ 6. SHARED VOTING POWER 2,693,522 - ------------------------------------------------------------------ 7. SOLE DISPOSITIVE POWER None - ------------------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 2,693,522 - ------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,693,522 jointly held - ----------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.63% - ------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 5 - ----------------------------------------------------------------- - ------------------------------------------------------------------ ITEM 1(A). NAME OF ISSUER: Anthracite Capital, Inc. (the "Company) - ------------------------------------------------------------------ ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 345 Park Avenue 29th Floor New York, NY 10154 - ------------------------------------------------------------------ ITEM 2(A). NAME OF PERSON FILING: James and Nancy Grosfeld ------------------------------------------------------------------ Page 3 of 5 ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR IF NONE, RESIDENCE: - ------------------------------------------------------------------ James and Nancy Grosfeld 20500 Civic Center Drive Suite 3000 Southfield, Michigan 48076 - ------------------------------------------------------------------ ITEM 2(C). CITIZENSHIP: See item 4 of cover pages - ------------------------------------------------------------------ ITEM 2(D). TITLE OF CLASS OF SECURITIES: Common Stock - ------------------------------------------------------------------ ITEM 2(E). CUSIP NUMBER: 037023108000 See cover page - ------------------------------------------------------------------ ITEM 3. Not applicable - ------------------------------------------------------------------ ITEM 4(A). AMOUNT BENEFICIALLY OWNED: See item 9 of cover pages. ITEM 4(B). PERCENT OF CLASS: See item 11 of cover pages. ITEM 4(C). NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) sole power to vote or to direct the vote See item 5 of cover pages. Page 4 of 5 (ii) shared power to vote or to direct the vote: See item 6 of cover pages. (iii) sole power to dispose or to direct the disposition of See item 7 of cover pages. (iv) shared power to dispose or to direct the disposition of See item 8 of cover pages. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. - ------------------------------------------------------------------ See item 11 of cover pages. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. - ------------------------------------------------------------------ Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITIES BEING REPORTED ON BY THE PARENT HOLDING COMPANY. - ------------------------------------------------------------------ Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: - ------------------------------------------------------------------ Not applicable ITEM 9. NOTICE OF DISSOLUTION OF GROUP. - ------------------------------------------------------------------ Not applicable ITEM 10. CERTIFICATION. - ------------------------------------------------------------------ By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Page 5 of 5 By:/s/ James Grosfeld Nancy Grosfeld SIGNATURE James Grosfeld, Joint Tenant Nancy Grosfeld, Joint Tenant February 28, 2002 ---------------- DATE -----END PRIVACY-ENHANCED MESSAGE-----