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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
(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. 2)
ANTHRACITE CAPITAL, INC.
(Name of Issuer)
COMMON STOCK, PAR VALUE $0.001
(Title of Class of Securities)
037023108
(CUSIP Number)
Larry P. Medvinsky, Esq.
Clifford Chance Rogers & Wells LLP
200 Park Avenue
New York, New York 10166
(212) 878-8000
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
June 5, 2002
June 11, 2002
(Date of Events which Require 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. |_|
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(Continued on following pages)
CUSIP No.037023108 13D
________________________________________________________________________________
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
CREDIT SUISSE FIRST BOSTON, ON BEHALF OF CREDIT SUISSE FIRST
BOSTON BUSINESS UNIT
________________________________________________________________________________
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [_]
(b) [x]
________________________________________________________________________________
3 SEC USE ONLY
________________________________________________________________________________
4 SOURCE OF FUNDS
NOT APPLICABLE
________________________________________________________________________________
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [_]
________________________________________________________________________________
6 CITIZENSHIP OR PLACE OF ORGANIZATION
SWITZERLAND
________________________________________________________________________________
7 SOLE VOTING POWER
NUMBER OF SEE ITEM 5
SHARES _________________________________________________________________
8 SHARED VOTING POWER
BENEFICIALLY
SEE ITEM 5
OWNED BY
_________________________________________________________________
EACH 9 SOLE DISPOSITIVE POWER
REPORTING SEE ITEM 5
PERSON _________________________________________________________________
10 SHARED DISPOSITIVE POWER
WITH
SEE ITEM 5
________________________________________________________________________________
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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)
SEE ITEM 5
________________________________________________________________________________
14 TYPE OF REPORTING PERSON
BK, HC, OO
________________________________________________________________________________
Page 2 of 15
SCHEDULE 13D
This Amendment No. 2 amends and supplements the Report on the Schedule 13D,
originally filed on December 10, 1999 (as heretofore amended and supplemented,
the "Schedule 13D") with respect to the shares of common stock, $0.001 par value
per share (the "Shares") of Anthracite Capital, Inc., a Maryland corporation
(the "Company").
Unless otherwise indicated, each capitalized term used but not defined
herein shall have the meaning assigned to such term on the Schedule 13D.
Item 4. Purpose of the Transaction.
The response set forth in Item 4 of the Schedule 13D is hereby amended by
adding the following after the twelfth paragraph:
"On December 21, 2001, 1,190,000 shares of RECP's Preferred Stock were
converted to 4,096,854 Shares and, on March 27, 2002, RECP's remaining 10,000
shares of Preferred Stock were converted to 34,427 Shares."
"On January 4, 2002, the Company paid an accrued dividend to RECP in the
form of 64,187 Shares."
"On June 5, 2002, RECP made a distribution in kind to its partners of
2,097,734 Shares."
"On June 11, 2002, RECP sold 1,999,120 Shares to Friedman, Billings, Ramsey
& Co., Inc."
"RECP intends to sell the reminder of its Shares in one or more
transactions within the next twelve months."
Item 5. Interest in Securities of the Issuer.
The response set forth in (a) and (b) of Item 5 of the Schedule 13D is
hereby amended by:
(a) deleting the sixth paragraph and replacing it with the following:
"As of the date of this Amendment No. 2, RECP directly holds 98,614 Shares
and has the shared power to vote and direct the disposition of such Shares in
accordance with the relationships described in Item 2."
(b) deleting the twelfth paragraph and replacing it with the following:
"As a result of the holdings of the Company's securities described above,
the Reporting Person may be deemed to beneficially own indirectly 570,679
Shares, representing 0.012% of the outstanding Shares."
The response set forth in (c) of Item 5 of the Schedule 13D is hereby
replaced with the following:
"Other than the two transactions set forth below, no transactions in the
Shares have been effected by RECP or any other person controlling RECP since
April 12, 2002."
"On June 5, 2002, RECP made a distribution in kind to its partners of
2,097,734 Shares."
"On June 11, 2002, RECP sold 1,999,120 Shares to Friedman, Billings, Ramsey
& Co., Inc."
Page 3 of 15
The response set forth in (e) of Item 5 of the Scheduled 13D is hereby
replaced with the following:
"The Reporting Person ceased to be the beneficial owner of more than five
percent of the Shares on June 11, 2002."
Page 4 of 15
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.
Dated: June 14, 2002
CREDIT SUISSE FIRST BOSTON, acting solely on
behalf of Credit Suisse First Boston
business unit
By: /S/ IVY B. DODES
-----------------------------------------
Name: Ivy B. Dodes
Title: Managing Director
Page 5 of 15
SCHEDULES
Schedules A through I are hereby deleted in their entirety and replaced
with the following:
Page 6 of 15
Schedule A
Directors and Executive Officers
of
DLJ RECP SBS II, Inc.
The following table sets forth the name, business address, present
principal occupation and citizenship of each director and executive officer of
DLJ RECP SBS II, Inc. The business address of DLJ RECP SBS II, Inc. is 11
Madison Avenue, New York, NY 10010.
NAME AND TITLE BUSINESS ADDRESS TITLE AND PRINCIPAL OCCUPATION CITIZENSHIP
George R. Hornig 11 Madison Avenue Director USA
New York, NY 10010
Hamilton E. James 11 Madison Avenue Director and Chief Executive Officer USA
New York, NY 10010
Edward A. Poletti 11 Madison Avenue Director USA
New York, NY 10010
Joe L. Roby 11 Madison Avenue Chief Operating Officer USA
New York, NY 10010
James D. Allen 11 Madison Avenue Vice President USA
New York, NY 10010
John S. Ficarra 11 Madison Avenue Vice President USA
New York, NY 10010
Stuart S. Flamberg 11 Madison Avenue Vice President and Director of Taxes USA
New York, NY 10010
Ivy B. Dodes 11 Madison Avenue Vice President USA
New York, NY 10010
Mark A. Competiello 11 Madison Avenue Vice President and Tax Manager USA
New York, NY 10010
Page 7 of 15
Schedule B
Directors and Executive Officers
of
RECP II Anthracite, LLC.
The following table sets forth the name, business address, present
principal occupation and citizenship of each director and executive officer of
RECP II Anthracite, LLC. The business address of RECP II Anthracite, LLC. is 11
Madison Avenue, New York, NY 10010.
NAME AND TITLE BUSINESS ADDRESS TITLE AND PRINCIPAL OCCUPATION CITIZENSHIP
Andrew P. Rifkin 11 Madison Avenue Managing Director USA
New York, NY 10010
Page 8 of 15
Schedule C
Directors and Executive Officers
of
DLJ Real Estate Capital II, Inc.
The following table sets forth the name, business address, present
principal occupation and citizenship of each director and executive officer of
DLJ Real Estate Capital II, Inc. The business address of DLJ Real Estate Capital
II, Inc. is 11 Madison Avenue, New York, NY 10010.
NAME AND TITLE BUSINESS ADDRESS TITLE AND PRINCIPAL OCCUPATION CITIZENSHIP
Hamilton E. James 11 Madison Avenue Chairman USA
New York, NY 10010
Stuart S. Flamberg 11 Madison Avenue Director of Taxes USA
New York, NY 10010
Nicole S. Arnaboldi 11 Madison Avenue Managing Director USA
New York, NY 10010
Andrew P. Rifkin 11 Madison Avenue Managing Director USA
New York, NY 10010
Barry A. Sholem 11 Madison Avenue Managing Director USA
New York, NY 10010
Edward A. Poletti 11 Madison Avenue Vice President, Controller USA
New York, NY 10010
Andrew R. Kassoy 11 Madison Avenue Senior Vice President USA
New York, NY 10010
James D. Allen 11 Madison Avenue Vice President USA
New York, NY 10010
John S. Ficarra 11 Madison Avenue Vice President USA
New York, NY 10010
Ivy B. Dodes 11 Madison Avenue Vice President USA
New York, NY 10010
Mark A. Competiello 11 Madison Avenue Vice President and Tax Manager USA
New York, NY 10010
Lawrence M.v.D. Schloss 11 Madison Avenue Vice Chairman USA
New York, NY 10010
Page 9 of 15
Schedule D
Directors and Executive Officers
of
DLJ Real Estate Capital Partners, Inc.
The following table sets forth the name, business address, present
principal occupation and citizenship of each director and executive officer of
DLJ Real Estate Capital Partners, Inc. The business address of DLJ Real Estate
Capital Partners, Inc. is 11 Madison Avenue, New York, NY 10010.
NAME AND TITLE BUSINESS ADDRESS TITLE AND PRINCIPAL OCCUPATION CITIZENSHIP
Hamilton E. James 11 Madison Avenue Director and Chairman USA
New York, NY 10010
Lawrence M.v.D. Schloss 11 Madison Avenue Director and Vice Chairman USA
New York, NY 10010
Barry A. Sholem 11 Madison Avenue Director and Managing Director USA
New York, NY 10010
Nicole Arnaboldi 11 Madison Avenue Managing Director USA
New York, NY 10010
Murray McQueen 11 Madison Avenue Vice President USA
New York, NY 10010
Edward W. Poletti 11 Madison Avenue Vice President and Controller USA
New York, NY 10010
Stuart S. Flamberg 11 Madison Avenue Vice President and Director of Taxes USA
New York, NY 10010
Andrew P. Rifkin 11 Madison Avenue Senior Vice President USA
New York, NY 10010
Ivy B. Dodes 11 Madison Avenue Vice President USA
New York, NY 10010
Andrew Kassoy 11 Madison Avenue Vice President USA
New York, NY 10010
Mark A. Competiello 11 Madison Avenue Vice President and Tax Manager USA
New York, NY 10010
Page 10 of 15
Schedule E
Directors and Executive Officers
of
Credit Suisse First Boston Private Equity, Inc.
(f.k.a. DLJ Capital Investors, Inc.)
The following table sets forth the name, business address, present
principal occupation and citizenship of each director and executive officer of
Credit Suisse First Boston Private Equity, Inc. The business address of Credit
Suisse First Boston Private Equity, Inc. is 11 Madison Avenue, New York, NY
10010.
NAME AND TITLE BUSINESS ADDRESS TITLE AND PRINCIPAL OCCUPATION CITIZENSHIP
Hamilton E. James 11 Madison Avenue Director USA
New York, NY 10010
Lawrence M.v.D. Schloss 11 Madison Avenue Director & Chief Executive Officer USA
New York, NY 10010
George R. Hornig 11 Madison Avenue Chief Operating Officer USA
New York, NY 10010
Kenneth J. Lohsen 11 Madison Avenue Controller USA
New York, NY 10010
Laura Raftery 11 Madison Avenue Treasurer USA
New York, NY 10010
Edward A. Poletti 11 Madison Avenue Chief Financial Officer USA
New York, NY 10010
Nicole S. Arnaboldi 11 Madison Avenue Chief Operating Officer--Funds USA
New York, NY 10010 Management
Page 11 of 15
Schedule F
Directors and Executive Officers
of
DLJ LBO Plans Management Corporation
The following table sets forth the name, business address, present
principal occupation and citizenship of each director and executive officer of
DLJ LBO Plans Management Corporation. The business address of DLJ LBO Plans
Management Corporation is 11 Madison Avenue, New York, NY 10010.
NAME AND TITLE BUSINESS ADDRESS TITLE AND PRINCIPAL OCCUPATION CITIZENSHIP
Joseph F. Huber 11 Madison Avenue Director & Vice President USA
New York, NY 10010
David C. O'Leary 11 Madison Avenue Director & Vice President USA
New York, NY 10010
Raymond M. Disco 11 Madison Avenue Treasurer USA
New York, NY 10010
Edward A. Poletti 11 Madison Avenue Senior Vice President & Controller USA
New York, NY 10010
Page 12 of 15
Schedule G
Directors and Executive Officers
of
Credit Suisse First Boston (USA), Inc.
The following table sets forth the name, business address, present
principal occupation and citizenship of each director and executive officer of
CSFB-USA. The business address of CSFB-USA is 11 Madison Avenue, New York, NY
10010.
NAME AND TITLE BUSINESS ADDRESS TITLE AND PRINCIPAL OCCUPATION CITIZENSHIP
John J. Mack 11 Madison Avenue President, Chief Executive Officer, USA
New York, NY 10010 Board Member
Brady W. Dougan 11 Madison Avenue Head of Securities Division, Board USA
New York, NY 10010 Member
D. Wilson Ervin 11 Madison Avenue Head of Strategic Risk Management USA
New York, NY 10010
David C. Fisher 11 Madison Avenue Chief Financial & Accounting Officer USA
New York, NY 10010
Hamilton E. James 11 Madison Avenue Chairman of Global Investment USA
New York, NY 10010 Banking and Private Equity, Board
Member
Robert C. O'Brien 11 Madison Avenue Chief Credit Officer USA
New York, NY 10010
Richard E. Thornburgh 11 Madison Avenue Division Head-Finance, USA
New York, NY 10010 Administration and Operations,
Board Member
Adebayo Ogunlesi 11 Madison Avenue Head of Global Investment Banking Nigeria
New York, NY 10010
Neil Moskowitz 11 Madison Avenue Managing Director USA
New York, NY 10010
Carlos Onis 11 Madison Avenue Managing Director USA
New York, NY 10010
Neil Radey 11 Madison Avenue Managing Director USA
New York, NY 10010
Stephen R. Volk 11 Madison Avenue Managing Director, USA
New York, NY 10010 Board Member
Eileen Murray 11 Madison Avenue Managing Director, USA
New York, NY 10010 Board Member
Page 13 of 15
Schedule H
Directors and Executive Officers
of
Credit Suisse First Boston, Inc.
The following table sets forth the name, business address, present
principal occupation and citizenship of each director and executive officer of
CSFBI. The business address of CSFBI is 11 Madison Avenue, New York, NY 10010.
NAME AND TITLE BUSINESS ADDRESS TITLE AND PRINCIPAL OCCUPATION CITIZENSHIP
John J. Mack 11 Madison Avenue President, Chief Executive Officer, USA
New York, NY 10010 Board Member
Brady W. Dougan 11 Madison Avenue Managing Director USA
New York, NY 10010
D. Wilson Ervin 11 Madison Avenue Managing Director USA
New York, NY 10010
David C. Fisher 11 Madison Avenue Managing Director, Chief Accounting USA
New York, NY 10010 Officer & Controller
Hamilton E. James 11 Madison Avenue Managing Director USA
New York, NY 10010
Robert C. O'Brien 11 Madison Avenue Managing Director, Chief Credit USA
New York, NY 10010 Officer
Richard E. Thornburgh 11 Madison Avenue Chief Financial Officer, Board USA
New York, NY 10010 Member
Lewis H. Wirshba 11 Madison Avenue Managing Director, Treasurer USA
New York, NY 10010
Neil Moskowitz 11 Madison Avenue Managing Director USA
New York, NY 10010
David C. O'Leary 11 Madison Avenue Managing Director USA
New York, NY 10010
Carlos Onis 11 Madison Avenue Managing Director USA
New York, NY 10010
Neil Radey 11 Madison Avenue Managing Director USA
New York, NY 10010
Adebayo Ogunlesi 11 Madison Avenue Managing Director Nigeria
New York, NY 10010
Page 14 of 15
Schedule I
Executive Officers
of
the Reporting Person
The following table sets forth the name, business address, present
principal occupation and citizenship of each executive officer of the Reporting
Person. The business address of the Reporting Person is 11 Madison Avenue, New
York, NY 10010.
NAME AND TITLE BUSINESS ADDRESS TITLE AND PRINCIPAL OCCUPATION CITIZENSHIP
John J. Mack 11 Madison Avenue Chief Executive Officer, Chairman USA
New York, NY 10010
Christopher Carter 17 Columbus Courtyard Chairman of Europe GBR
London, England E14
4DA
Brady W. Dougan 11 Madison Avenue Head of Securities Division USA
New York, NY 10010
Hamilton E. James 11 Madison Avenue Chairman of Global Investment USA
New York, NY 10010 Banking and Private Equity
Gary G. Lynch 11 Madison Avenue Global General Counsel USA
New York, NY 10010
Thomas R. Nides 11 Madison Avenue Chief Administrative Officer USA
New York, NY 10010
Hector W. Sants 11 Madison Avenue Chief Executive of European USA
New York, NY 10010
Richard E. Thornburgh 11 Madison Avenue Chief Financial Officer USA
New York, NY 10010
Stephen R. Volk 11 Madison Avenue Chairman of CSFB USA
New York, NY 10010
Adebayo Ogunlesi 11 Madison Avenue Head of Global Investment Banking Nigeria
New York, NY 10010
Eileen Murray 11 Madison Avenue Head of IT and Operations USA
New York, NY 10010
Page 15 of 15