-----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, TTGRDjWQn2LJkTwwMRQMyS3IhqYQ2fWedRIXIhM787X083YO43Vc+pT5osMI+1z7 JaOaraIK3SEPJQBHT5nksA== 0000950172-00-000361.txt : 20000223 0000950172-00-000361.hdr.sgml : 20000223 ACCESSION NUMBER: 0000950172-00-000361 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000222 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAPSTEAD MORTGAGE CORP CENTRAL INDEX KEY: 0000766701 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 752027937 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-37849 FILM NUMBER: 550380 BUSINESS ADDRESS: STREET 1: 8401 NORTH CENTRAL EXPRESSWAY STREET 2: STE 800 CITY: DALLAS STATE: TX ZIP: 75225 BUSINESS PHONE: 2148742323 MAIL ADDRESS: STREET 1: 8401 NORTH CENTRAL EXPRESSWAY STREET 2: STE 800 CITY: DALLAS STATE: TX ZIP: 75225 FORMER COMPANY: FORMER CONFORMED NAME: LOMAS MORTGAGE CORP DATE OF NAME CHANGE: 19891105 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FORTRESS REGISTERED INVESTMENT TRUST CENTRAL INDEX KEY: 0001101762 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1301 AVENUE OF AMERICAS 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2127986100 SC 13D/A 1 SCHEDULE 13D - AMENDMENT NO. 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ---------------- SCHEDULE 13D (RULE 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (AMENDMENT NO. 1) CAPSTEAD MORTGAGE CORPORATION ------------------------------------------------------- (NAME OF ISSUER) COMMON STOCK, PAR VALUE $0.01 PER SHARE ------------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 14067E 10 0 ------------------------------------------------------- (CUSIP NUMBER) Randal A. Nardone Chief Operating Officer and Secretary Fortress Registered Investment Trust 1301 Avenue of the Americas New York, New York 10019 (212) 798-6100 -------------------------------------------------------- (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) COPY TO: J. Gregory Milmoe Skadden, Arps, Slate, Meagher & Flom LLP Four Times Square New York, New York 10036-6522 (212) 735-3000 January 12, 2000 ------------------------------------------------------- (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d(f) or 13d-1(g), check the following box |_| . CUSIP NO. 14067 10 0 13D - ---------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) FORTRESS CAP LLC (I.R.S. EMPLOYER IDENTIFICATION NUMBER [ ]) - ---------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| NOT APPLICABLE (b) |_| - ---------------------------------------------------------------------------- 3 SEC USE ONLY - ---------------------------------------------------------------------------- 4 SOURCE OF FUNDS NOT APPLICABLE - ---------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUAN TO ITEM 2(d) or 2(e) |_| - ---------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ---------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER - 0 - SHARES ------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER - 10,756,000 - OWNED BY ------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER - 0 - REPORTING ------------------------------------------------- PERSON WITH 10 SHARED DISPOSITIVE POWER- 10,756,000 - - ---------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -10,756,000 - - ---------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN S|_|ES NOT APPLICABLE - ---------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 19.05% (BASED ON 45,719,023 SHARES OF COMMON STOCK OUTSTANDING AS OF JANUARY 20, 2000 AND ASSUMING CONVERSION OF THE PREFERRED STOCK BENEFICIALLY OWNED BY THE REPORTING PERSON) - ---------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - ---------------------------------------------------------------------------- CUSIP NO. 14067 10 0 13D PAGE 3 OF 10 PAGES - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) FORTRESS REGISTERED INVESTMENT TRUST (I.R.S. EMPLOYER IDENTIFICATION NUMBER [ ]) - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| NOT APPLICABLE (b) |_| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS WC - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER - 0 - SHARES BENEFICIALLY 8 SHARED VOTING POWER - 10,756,000 - OWNED BY EACH 9 SOLE DISPOSITIVE POWER - 0 - REPORTING PERSON WITH 10 SHARED DISPOSITIVE POWER- 10,756,000 - - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -10,756,000 - - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_| NOT APPLICABLE - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 19.05% (BASED ON 45,719,023 SHARES OF COMMON STOCK OUTSTANDING AS OF JANUARY 20, 2000 AND ASSUMING CONVERSION OF THE PREFERRED STOCK BENEFICIALLY OWNED BY THE REPORTING PERSON) - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - ------------------------------------------------------------------------------- CUSIP NO. 14067 10 0 13D PAGE 4 OF 10 PAGES - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) FORTRESS INVESTMENT FUND LLC (I.R.S. EMPLOYER IDENTIFICATION NUMBER [ ]) - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| NOT APPLICABLE (b) |_| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS NOT APPLICABLE - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER - 0 - SHARES BENEFICIALLY 8 SHARED VOTING POWER - 10,756,000 - OWNED BY EACH 9 SOLE DISPOSITIVE POWER - 0 - REPORTING PERSON WITH 10 SHARED DISPOSITIVE POWER- 10,756,000 - - ---------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -10,756,000 - - ---------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES NOT APPLICABLE - ---------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 19.05% (BASED ON 45,719,023 SHARES OF COMMON STOCK OUTSTANDING AS OF JANUARY 20, 2000 AND ASSUMING CONVERSION OF THE PREFERRED STOCK BENEFICIALLY OWNED BY THE REPORTING PERSON) - ---------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - ------------------------------------------------------------------------------- CUSIP NO. 14067 10 0 13D PAGE 5 OF 10 PAGES - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) FORTRESS PRINCIPAL INVESTMENT HOLDINGS LLC (I.R.S. EMPLOYER IDENTIFICATION NUMBER [ ]) - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| NOT APPLICABLE (b) |_| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS NOT APPLICABLE - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER - 0 - SHARES BENEFICIALLY 8 SHARED VOTING POWER - 10,756,000 - OWNED BY EACH 9 SOLE DISPOSITIVE POWER - 0 - REPORTING PERSON WITH 10 SHARED DISPOSITIVE POWER- 10,756,000 - - ---------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -10,756,000 - - ---------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN S|_|ES NOT APPLICABLE - ---------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 19.05% (BASED ON 45,719,023 SHARES OF COMMON STOCK OUTSTANDING AS OF JANUARY 20, 2000 AND ASSUMING CONVERSION OF THE PREFERRED STOCK BENEFICIALLY OWNED BY THE REPORTING PERSON) - ---------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO - ---------------------------------------------------------------------------- This Amendment No. 1 (this "Amendment") to the Statement on Schedule 13D dated January 24, 2000 (the "Schedule 13D") filed by Fortress Cap LLC, a Delaware limited liability company ("Cap LLC"), Fortress Registered Investment Trust, a Delaware business trust ("Fortress Trust"), Fortress Investment Fund LLC, a Delaware limited liability company ("Fortress Fund") and Fortress Principal Investment Holdings LLC, a Delaware limited liability company ("FPIH"), relates to the common stock, par value $.01 per share (the "Common Stock"), of Capstead Mortgage Corporation, a Maryland corporation (the "Issuer"). This Amendment is filed jointly by Cap LLC, Fortress Trust, Fortress Fund and FPIH. All capitalized terms used but not defined herein have the meanings ascribed to them in the Schedule 13D. Annex A to the Schedule 13D is hereby amended by adding the following: TRUSTEES OF FORTRESS REGISTERED INVESTMENT TRUST The name, principal occupation and principal business address of each of the members of Fortress Registered Investment Trust are listed below.
NAME PRINCIPAL OCCUPATION PRINCIPAL BUSINESS ADDRESS - ------------------------------------------------------------------------------------------------------ Wesley R. Edens Chief Executive Officer and Fortress Principal Investment Chairman of the Board of Holdings, LLC, Inc. Directors of Fortress Investment 1301 Avenue of the Americas, Corp. 42nd Floor New York, NY 10019 Randal A. Nardone Chief Operating Officer and Fortress Principal Investment Secretary of Fortress Investment Holdings, LLC, Inc. Corp. 1301 Avenue of the Americas, 42nd Floor New York, NY 10019 Brian S. Abrams Portfolio Manager -Venture DuPont Pension Fund Investment Investments, DuPont Pension One Righter Pkwy, Suite 3200 Fund Investment Wilmington, DE 19803 John C. Deterding Owner, Deterding Associates Deterding Associates 107 North Waterview Richardson, TX 75080 Robert H. Gidel Managing Partner, Liberty Realty Liberty Realty Partners Partners 2626 Cole Avenue, Suite 700 Dallas, TX 75204 Dennis Porterfield Retired 321 Race Track Road Ho-Ho-Kus, NJ 07423 Ashu Rajbhandari Senior Investment Officer - Washington State Investment Private Equity, Washington State Board Investment Board 2424 Heritage Court SW Olympia, WA 98504 John C. Sites Jr. General Partner, Daystar Partners Daystar Partners 411 Theodore Fremd Avenue Suite 100 Rye, NY 10580
- ---------------- SIGNATURE 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. February 22, 2000 FORTRESS REGISTERED INVESTMENT TRUST By: /s/ Randal A. Nardone ----------------------------------------- Randal A. Nardone as Secretary and Chief Operating Officer SIGNATURE 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. February 22, 2000 FORTRESS CAP LLC By: /s/ Randal A. Nardone ---------------------------------------------- Randal A. Nardone as Secretary and Chief Operating Officer of Fortress Registered Investment Trust, sole member of Fortress Cap LLC SIGNATURE 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. February 22, 2000 FORTRESS INVESTMENT FUND, LLC By: /s/ Randal A. Nardone --------------------------------------- Randal A. Nardone as Chief Operating Officer and Secretary of Fortress Fund MM, LLC, managing member of Fortress Investment Fund, LLC SIGNATURE 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. February 22, 2000 FORTRESS PRINCIPAL INVESTMENT HOLDINGS LLC By:/s/ Randal A. Nardone ---------------------------------- Randal A. Nardone as Secretary -----END PRIVACY-ENHANCED MESSAGE-----