-----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, WV4C6a1LfJDaiowh5Dq0dzkM2kNWrsDwl/6oW8OB9IYSgcGC7JMCT5z3yCAzbf4f 3R8eVGGlnkooVn2Iv+DOlA== 0000892251-03-000669.txt : 20031118 0000892251-03-000669.hdr.sgml : 20031118 20031118164547 ACCESSION NUMBER: 0000892251-03-000669 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20031118 GROUP MEMBERS: CORPOREX COMPANIES, LLC GROUP MEMBERS: CORPOREX REALTY &INVESTMENT,LLC GROUP MEMBERS: J. WILLIAM BLACKHAM III GROUP MEMBERS: WILLIAM P. BUTLER FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CORPOREX REALTY & INVESTMENT LLC CENTRAL INDEX KEY: 0001254131 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O CORPOREX COMPANIES LLC STREET 2: 100 E. RIVERCENTER BLVD #1100 TWR II CITY: COVINGTON STATE: KY ZIP: 41011 MAIL ADDRESS: STREET 1: C/O CORPOREX COMPANIES LLC STREET 2: 100 E. RIVERCENTER BLVD #1100 TWR 2 CITY: COVINGTON STATE: KY ZIP: 41011 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: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-19676 FILM NUMBER: 031010889 BUSINESS ADDRESS: STREET 1: 551 FIFTH AVE STREET 2: STE 1416 CITY: NEW YORK STATE: NY ZIP: 10176 BUSINESS PHONE: 2129051104 MAIL ADDRESS: STREET 1: 551 FIFTH AVE STREET 2: SUITE 1416 CITY: NEW YORK STATE: NY ZIP: 10176 FORMER COMPANY: FORMER CONFORMED NAME: FIRST UNION REALTY DATE OF NAME CHANGE: 19691012 SC 13D/A 1 schedule13dno3.htm AMENDMENT NO. 3 Amendment No. 3

SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549


SCHEDULE 13D
(Rule 13d-101)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
RULE 13d-2(a)

(Amendment No. 3)

FIRST UNION REAL ESTATE EQUITY AND MORTGAGE INVESTMENTS
(Name of Issuer)

Shares of Beneficial Interest, par value $1.00 per share
(Title of Class of Securities)


337400105
(CUSIP Number)


Edward E. Steiner, Esq.
Keating, Muething & Klekamp, P.L.L.
One East Fourth Street, 14th Floor
Cincinnati, Ohio 45202
(513) 579-6468
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)


November 14, 2003
(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]

NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Sec.240.13d-7 for other parties to whom copies are to be sent.

The information required on 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). 

CUSIP No. 337400105                                           Page 2 of 10 Pages
- --------------------------------------------------------------------------------
 1        NAME OF REPORTING PERSONS
          I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

          Corporex Realty & Investment, LLC
          61-0670372
- --------------------------------------------------------------------------------
 2        CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*               (a)[X]
                                                                          (b)[ ]
- --------------------------------------------------------------------------------
 3        SEC USE ONLY

- --------------------------------------------------------------------------------
 4        SOURCE OF FUNDS*

          WC - See Item 3
- --------------------------------------------------------------------------------
 5        CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
          TO ITEM 2(d) or 2(e)

- --------------------------------------------------------------------------------
 6        CITIZENSHIP OR PLACE OF ORGANIZATION

          Commonwealth of Kentucky, U.S.A.
- --------------------------------------------------------------------------------
         NUMBER OF            7      SOLE VOTING POWER
          SHARES
       BENEFICIALLY                  1,965,740
         OWNED BY
           EACH              ---------------------------------------------------
         REPORTING            8      SHARED VOTING POWER
        PERSON WITH
                                      -0-
                             ---------------------------------------------------
                              9      SOLE DISPOSITIVE POWER

                                     1,965,740
                             ---------------------------------------------------
                             10      SHARED DISPOSITIVE POWER

                                     -0-

- --------------------------------------------------------------------------------
11        AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
          1,965,740 - See Item 5

- --------------------------------------------------------------------------------
12        CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
          CERTAIN SHARES*   [  ]
- --------------------------------------------------------------------------------
13        PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

          7.54%
- --------------------------------------------------------------------------------
14        TYPE OF REPORTING PERSON*
          OO
- --------------------------------------------------------------------------------
                      *SEE INSTRUCTIONS BEFORE FILLING OUT!








CUSIP No. 337400105                                          Page 3 of 10 Pages
- --------------------------------------------------------------------------------
 1        NAME OF REPORTING PERSONS
          I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

          Corporex Companies, LLC
          61-1189951
- --------------------------------------------------------------------------------
 2        CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*              (a)[X]
                                                                         (b)[ ]
- --------------------------------------------------------------------------------
 3        SEC USE ONLY

- --------------------------------------------------------------------------------
 4        SOURCE OF FUNDS*

          WC - See Item 3
- --------------------------------------------------------------------------------
 5        CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
          TO ITEM 2(d) or 2(e)

- --------------------------------------------------------------------------------
 6        CITIZENSHIP OR PLACE OF ORGANIZATION

          Commonwealth of Kentucky, U.S.A.
- --------------------------------------------------------------------------------
         NUMBER OF            7      SOLE VOTING POWER
          SHARES
       BENEFICIALLY                  1,965,740
         OWNED BY
           EACH              ---------------------------------------------------
         REPORTING            8      SHARED VOTING POWER
        PERSON WITH
                                     -0-
                             ---------------------------------------------------
                              9      SOLE DISPOSITIVE POWER

                                     1,965,740
                             ---------------------------------------------------
                             10      SHARED DISPOSITIVE POWER

                                     -0-
- --------------------------------------------------------------------------------
11        AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
          1,965,740 - See Item 5

- --------------------------------------------------------------------------------
12        CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
          CERTAIN SHARES*   [  ]

- --------------------------------------------------------------------------------
13        PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

          7.54%

- --------------------------------------------------------------------------------
14        TYPE OF REPORTING PERSON*
          HC

- --------------------------------------------------------------------------------
                      *SEE INSTRUCTIONS BEFORE FILLING OUT!






CUSIP No. 337400105                                          Page 4 of 10 Pages
- --------------------------------------------------------------------------------
 1        NAME OF REPORTING PERSONS
          I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

          William P. Butler
- --------------------------------------------------------------------------------
 2        CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*              (a)[X]
                                                                         (b)[ ]                                                           (a)
- --------------------------------------------------------------------------------
 3        SEC USE ONLY

- --------------------------------------------------------------------------------
 4        SOURCE OF FUNDS*

          WC - See Item 3

- --------------------------------------------------------------------------------
 5        CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
          TO ITEM 2(d) or 2(e)

- --------------------------------------------------------------------------------
 6        CITIZENSHIP OR PLACE OF ORGANIZATION

          U.S. Citizen
- --------------------------------------------------------------------------------
         NUMBER OF            7      SOLE VOTING POWER
          SHARES
       BENEFICIALLY                  2,166,840
         OWNED BY
           EACH              ---------------------------------------------------
         REPORTING             8      SHARED VOTING POWER
        PERSON WITH
                                     -0-
                             ---------------------------------------------------
                              9      SOLE DISPOSITIVE POWER

                                     2,166,840
                             ---------------------------------------------------
                             10      SHARED DISPOSITIVE POWER

                                     -0-

- --------------------------------------------------------------------------------
11        AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

          2,166,840 - See Item 5

- --------------------------------------------------------------------------------

12        CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
          CERTAIN SHARES*   [  ]

- --------------------------------------------------------------------------------
13        PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

          8.31%

- --------------------------------------------------------------------------------
14        TYPE OF REPORTING PERSON*

          IN

- --------------------------------------------------------------------------------
                      *SEE INSTRUCTIONS BEFORE FILLING OUT!






CUSIP No. 337400105                                          Page 5 of 10 Pages
- --------------------------------------------------------------------------------
 1        NAME OF REPORTING PERSONS
          I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

          J. William Blackham III
- --------------------------------------------------------------------------------
 2        CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*         (a) [X]
                                                                    (b) [ ]
- --------------------------------------------------------------------------------

 3        SEC USE ONLY

- --------------------------------------------------------------------------------
 4        SOURCE OF FUNDS*

          PF
- --------------------------------------------------------------------------------
 5        CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
          TO ITEM 2(d) or 2(e)

- --------------------------------------------------------------------------------
 6        CITIZENSHIP OR PLACE OF ORGANIZATION

          U.S. Citizen

- --------------------------------------------------------------------------------
         NUMBER OF            7      SOLE VOTING POWER
          SHARES
       BENEFICIALLY                  10,000
         OWNED BY
           EACH              ---------------------------------------------------
         REPORTING            8      SHARED VOTING POWER
        PERSON WITH
                                    -0-
                             ---------------------------------------------------
                              9      SOLE DISPOSITIVE POWER

                                     10,000
                             ---------------------------------------------------
                             10      SHARED DISPOSITIVE POWER

                                     -0-

- --------------------------------------------------------------------------------
11        AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

          10,000 - See Item 5

- --------------------------------------------------------------------------------
12        CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
          CERTAIN SHARES*  [  ]

- --------------------------------------------------------------------------------
13        PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

          Less than 0.1%

- --------------------------------------------------------------------------------
14        TYPE OF REPORTING PERSON*

          IN
- --------------------------------------------------------------------------------
                      *SEE INSTRUCTIONS BEFORE FILLING OUT!

        This Amendment No. 3 to Schedule 13D amends Items 4 and 5 of the Schedule 13D filed on July 14, 2003 by Corporex Realty & Investment, LLC (“Corporex Realty”), Corporex Companies, LLC (“Corporex Companies”), William P. Butler and J. William Blackham III (Corporex Realty, Corporex Companies and Messrs. Butler and Blackham are collectively referred to herein as the “Reporting Persons”). This filing relates to the shares of beneficial interest, par value $1.00 per share (the “Shares”), of First Union Real Estate Equity and Mortgage Investments, an Ohio business trust (the “Issuer”).

Item 4.    Purpose of Transaction.

        Since the filing of its Amendment No. 2 to Schedule 13D Corporex Realty has engaged in miscellaneous correspondence with the Issuer. Specifically, on or about September 19, 2003 Corporex Realty requested that the Issuer waive the disqualification provisions of Article VI, Section 6 of the Issuer’s Bylaws in the event that additional acquisitions of Shares by the Reporting Persons would take their ownership percentage over the 9.8% “cap” contemplated thereby. Consistent with its previously expressed reservation of rights to communicate with other shareholders of the Issuer, Corporex Realty also has requested, and has been granted, access to the Issuer’s stocklist materials. Except as modified by the foregoing, Item 4 of the Schedule 13D filed on July 14, 2003 remains in full effect as originally filed. The Reporting Persons continue to retain the right to change their investment intent, to propose one or more other or additional possible transactions to the Issuer’s trustees, to acquire additional Shares from time to time or to sell or otherwise dispose of all or part of the Shares beneficially owned by them in any manner permitted by law.

Item 5.    Interest in Securities of the Issuer.

        During the past sixty (60) days the following Reporting Persons executed the following transaction in Shares on the dates and prices indicated through the New York Stock Exchange:

Date of Purchase
 Number of Shares
 Price Per Share
Corporex Realty
 9/29/00 100  $     1.82
 9/30/03 3,000  $     1.82
 10/1/03 6,400  $     1.82
 10/2/03 10,000  $     1.81
 10/2/03 500  $     1.82
 10/3/03 18,900  $     1.81
 10/8/03 200  $     1.81
 10/7/03 700  $     1.81
 10/8/03 5,200  $     1.83
 10/9/03 300  $     1.81
10/10/03 4,700  $     1.81
10/13/03 200  $     1.81
10/14/03 500  $     1.81
10/15/03 4,300  $     1.81
10/16/03 100  $     1.81
10/17/03 5,000  $     1.81
10/20/03 9,900  $     1.80
10/21/03 4,800  $     1.78
10/22/03 5,000  $     1.78
10/24/03 5,000  $     1.80
10/27/03 5,000  $     1.81
10/28/03 5,800  $     1.81
10/29/03 10,000  $     1.80
10/30/03 10,000  $     1.81
10/31/03 3,200  $     1.80
 11/3/03 4,000  $     1.81
 11/4/03 5,000  $     1.80
 11/5/03 5,000  $     1.80
 11/6/03 2,600  $     1.80
11/10/03 1,500  $     1.80
11/12/03 5,000  $     1.81
11/13/03 1,200  $     1.80
11/14/03 5,000  $     1.80
11/17/03 10,000  $     1.80


[Remainder of page intentionally left blank; signature page follows.]

SIGNATURES

        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.

Dated: November 18, 2003

CORPOREX REALTY & INVESTMENT, LLC

By:*__________________________________
      Name:
      Title:


CORPOREX COMPANIES, LLC

By:*__________________________________
      Name:
      Title:


*_____________________________________
William P. Butler


*_____________________________________
J. William Blackham III


*By:     /s/ F. Mark Reuter                                    
         F. Mark Reuter
         Attorney-in-Fact
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