-----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, R9/yLe6INMM0RuNFu6AHe+HEM648TDSUL5LrbEZVpEyU6Fpwa3dXsXrBFIXnCIao rXowv4apd38w8KVHkocD/Q== 0000950123-99-010875.txt : 19991213 0000950123-99-010875.hdr.sgml : 19991213 ACCESSION NUMBER: 0000950123-99-010875 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991130 FILED AS OF DATE: 19991210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HANOVER CAPITAL MORTGAGE HOLDINGS INC CENTRAL INDEX KEY: 0001040719 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 133950486 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-13417 FILM NUMBER: 99772104 BUSINESS ADDRESS: STREET 1: 90 WEST ST STE 1508 CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: 2127325086 MAIL ADDRESS: STREET 1: 90 WEST ST STE 1508 CITY: NEW YORK STATE: NY ZIP: 10006 COMPANY DATA: COMPANY CONFORMED NAME: CAMPBELL ROBERT E CENTRAL INDEX KEY: 0001069852 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: HANOVER CAPITAL MORTGAGE HOLDINGS INC STREET 2: 90 WEST ST STE 1508 CITY: NEW YORK STATE: NY ZIP: 10006 MAIL ADDRESS: STREET 1: HANOVER CAPITAL MORTGAGE HOLDINGS INC STREET 2: 90 WEST ST STE 1508 CITY: NEW YORK STATE: NY ZIP: 10006 4 1 FORM 4: HANOVER CAPITAL MORTGAGE/R. CAMPBELL 1 - ------ FORM 4 - ------ U.S. SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL WASHINGTON, DC 20549 OMB Number: 3235-0287 Expires: September 30, 1998 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Estimated average burden / / Check box if no hours per response 0.5 longer subject to Filed pursuant to Section 16(a) of the Securities Section 16. Form 4 Exchange Act of 1934, Section 17(a) of the or Form 5 obligations Public Utility Holding Company Act of 1935 may continue. See or Section 30(f) of the Investment Company Instruction 1(b). Act of 1940
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to Campbell Robert R. Hanover Capital Mortgage Holdings Inc. HCM Issuer (Check all applicable) - ------------------------------------------- -------------------------------------------- x Director 10% Owner (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for _ --- Number of Reporting Month/Year Officer (give Other (Specify 40 Lake Drive Person (Voluntary) Nov. 1999 ---- title --- below) - --------------------------------------------- ------------------- below) (Street) -------------------- 5. If Amendment, __________________________________ New Brunswick NJ 08902 Date of Original 7. Individual or Joint/Group Filing - --------------------------------------------- (Month/Year) (Check Applicable Line) (City) (State) (Zip) x Form filed by One Reporting Person ------------ Form filed by more than one __ Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Instr. 8) End of Month Direct Benefi- (Month/ (Instr. 3 and 4) (D) or cial Day/ --------------------------------------- Indirect Owner- Year) Code V Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/22/99 P 168 A 3.85 7,644 D* - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ *If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) *Jointly owned with Joan Campbell (Print or Type Responses) (Bulletin No. 177, 10-15-97)
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FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Ac- Expiration Securities Deriv- Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative Deriv- Day/ Disposed of (D) (Month/Day/ Secur- ative Year) (Instr. 3, 4, Year) ity Security and 5) (Instr. 5) ----------------------------------- Date Expira- Amount or -------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ Stock Options Common Rights to Acquire 15.94 * * Stock 2,000 - ------------------------------------------------------------------------------------------------------------------------------------ Common Options** 4.625 8/29/99 8/28/09 Stock 2,000 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 9. Number of 10. Ownership 11. Nature of Security Derivative Form of Indirect (Instr. 3) Securities Derivative Beneficial Beneficially Security: Ownership Owned at End Direct (D) (Instr. 4) of Month or Indirect (I) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------- Stock Options Rights to Acquire 2,000 D - ------------------------------------------------------------------------------------------------------- Options** 2,000 D - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- Explanation of Responses: * Options expire January 14, 2008. ** Options exercisable immediately and expire one day less than ten years from grant date. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ Robert R. Campbell 12/9/99 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- ------- **Signature of Reporting Person Date Note. File three copies of this Form, one of which must be manually signed. Page 2 If space provided is insufficient, see Instruction 6 for procedure. (Bulletin No. 177, 10-15-97)
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