| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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 |
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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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ANTHRACITE CAPITAL INC [ AHR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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| 3. Date of Earliest Transaction
(Month/Day/Year)
06/24/2008 |
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| 4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/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 Transaction(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, par value $0.001 | 06/24/2008 | C ( 2 ) | 3,119,661 | A | $7.4928 | 6,613,682 | D ( 1 ) | |||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) |
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| 12% Series E-3 Cumulative Convertible Redeemable Pref. Stock | $7.4928 | 06/24/2008 | C ( 2 ) | 23,375 | 04/04/2008 | ( 3 ) | Common Stock | 3,119,661.67 ( 2 ) | $0 | 0 | D ( 1 ) | ||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. See Exhibit 99.1 |
| 2. The reporting persons converted 23,375 Shares of 12% Series E-3 Cumulative Convertible Redeemable Preferred Stock on June 24, 2008, at a conversion price of $7.4928 per share, resulting in their acquisition of 3,119,661 shares of common stock and $5.4216 in cash in lieu of fractional shares. |
| 3. N/A |
| RECP IV Cite CMBS Equity, L.P. - By: RECP IV Cite CMBS Investors, L.L.C. - /s/ James D. Allen (Vice President) | 06/30/2008 | |
| DLJ REAL ESTATE CAPITAL PARTNERS IV, L.P. - By: DLJ Real Estate Capital IV, L.P.,(its general partner), By: DLJ Real Estate Capital IV, Inc.,(its general partner) - /s/ James D. Allen (Vice President) | 06/30/2008 | |
| DLJ REAL ESTATE CAPITAL IV, L.P. - By: DLJ Real Estate Capital IV, Inc.,(its general partner) - /s/ James D. Allen (Vice President) | 06/30/2008 | |
| DLJ REAL ESTATE CAPITAL IV, INC - /s/ James D. Allen (Vice President) | 06/30/2008 | |
| CREDIT SUISSE - /s/ Ivy Dodes (Managing Director) | 06/30/2008 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** 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. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||