FORM 4 FOR 9/06/2002 REPORTING PERIOD

-----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, TTpLJCbIb74Jd/16lEq2S0pWbJzAm7ut4crU0lIHV70V2PnB4bVd/L11UyyfUKM3 zUQpgspaptMEJ/SWuIXUcA== 0000950123-02-008761.txt : 20020909 0000950123-02-008761.hdr.sgml : 20020909 20020909155743 ACCESSION NUMBER: 0000950123-02-008761 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020906 FILED AS OF DATE: 20020909 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: KAPLAN THOMAS CENTRAL INDEX KEY: 0001094609 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 229 EAST 79TH STREET #14A CITY: NEW YORK STATE: NY ZIP: 10021 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HANOVER CAPITAL MORTGAGE HOLDINGS INC CENTRAL INDEX KEY: 0001040719 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 133950486 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13417 FILM NUMBER: 02759627 BUSINESS ADDRESS: STREET 1: 379 THORNALL STREET STREET 2: 2ND FLOOR CITY: EDISON STATE: NJ ZIP: 08837 BUSINESS PHONE: 732-548-0101 MAIL ADDRESS: STREET 1: 379 THORNALL STREET STREET 2: 2ND FLOOR CITY: EDISON STATE: NJ ZIP: 08837 4 1 y63743tke4.htm FORM 4 FOR 9/06/2002 REPORTING PERIOD FORM 4 FOR 9/06/2002 REPORTING PERIOD

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

FORM 4

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935
or Section 30(h) of the Investment Company Act of 1940

o Check this box if no longer
subject to Section 16.
Form 4 or Form 5
obligations may continue.
See Instruction 1(b).

1. Name and Address of Reporting
Person* (Last, First, Middle) 2. Issuer Name and Ticker or
Trading Symbol 3. I.R.S. Identification Number of Reporting
Person, if an entity (voluntary)
Kaplan, Thomas P
Hanover Capital Mortgage Holdings, Inc. HCM

229 East 79th Street, Apt 14A
4. Statement for Month/Year 5. If Amendment, Date of Original (Mo/Year)

8/25/02 8/26/02 9/5/02 9/6/02

(Street) 6. Relationship of Reporting Person(s)
to Issuer (Check All Applicable) 7. Individual or Joint/Group Filing
(Check Applicable Line)

New York, NY 10021
(City) (State) (Zip) o Director o 10% Owner x Form filed by One Reporting Person

x Officer (give title below) o Form filed by More than One Reporting Person

o Other (specify below)

Managing Director

* If the form is filed by more than one reporting person, see instruction 4(b)(v).

Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
(Instr. 3) 2. Transaction Date
(Mo/Day/Year) 2a. Deemed Execution
Date, if any.
(Mo/Day/Year) 3. Transaction Code
(Instr. 8) 4. Securities Acquired (A)
or Disposed of (D)
(Instr. 3, 4 and 5) 5. Amount of Securities
Beneficially Owned
Following Reported
Transactions(s)
(Instr. 3 and 4) 6. Ownership
Form:
Direct (D) or
Indirect (I)
(Instr. 4) 7. Nature of
Indirect
Beneficial
Ownership
(Instr. 4)

Code V Amount (A)
or
(D) Price

Common Stock 8/25/02 S 1000 D 7.95

8/26/02 S 3000 D 7.90

9/5/02 S 900 D 7.60

9/5/02 S 11,100 D 7.45

9/6/02 S 2000 D 7.65 80,794 D

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Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative
Security
(Instr. 3) 2. Conversion or Exercise
Price of Derivative
Security 3. Transaction
Date
(Mo/Day/Year) 3a. Deemed Execution Date, if any.
(Mo/Day/Year) 4. Transaction
Code
(Instr. 8) 5. Number of Derivative Securities
Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)

Code V (A) (D)

Options * 4.625

Options ** 3.875

Page 3

Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned — Continued
(e.g., puts, calls, warrants, options, convertible securities)

6. Date Exercisable and
Expiration Date
(Mo/Day/Year) 7. Title and Amount
of Underlying Securities
(Instr. 3 and 4) 8. Price of Derivative
Security
(Instr. 5) 9. Number of Derivative
Securities Beneficially Owned
Following Reported Transaction(s)
(Instr. 4) 10. Ownership Form of
Derivative Securities
Beneficially Owned
at End of Month
(Instr. 4) 11. Nature of
Indirect
Beneficial
Ownership
(Instr. 4)

Date
Exercisable Expiration
Date Title Amount or
Number of
Shares

* * Common Stock 11,666 11,666 D

** ** Common Stock 11,480 11,480 D

Explanation of Responses:

* Grant of options exercisable as follows: one third at 7/29/00, one-third at 7/29/01 and one-third at 7/29/02 and expire 7/28/09

** Grant of options exercisable as follows: one-third at 5/18/01, one third at 5/18/02 and one-third at 5/18/03 and expire 5/17/10

/s/ Thomas P. Kaplan September 9, 2002

**Signature of Reporting Person
Date

Reminder:		Report on a separate line for each class of securities beneficially owned directly or indirectly.

**		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 is insufficient, see Instruction 6 for procedure.

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/s/ Thomas P. Kaplan		September 9, 2002
**Signature of Reporting Person		Date