form8-k.htm
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the
Securities
Exchange Act of 1934
Date
of Report (Date of earliest event reported) July 1, 2009
(June 26,
2009)
Anthracite Capital, Inc.
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(Exact name of
registrant as specified in its
charter)
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Maryland
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001-13937
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13-3978906
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(State
or other jurisdiction of incorporation)
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(Commission
File Number)
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(IRS
Employer Identification No.)
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40
East 52nd Street, New York, New York
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10022 |
(Address
of principal executive offices)
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(Zip
Code) |
Registrant's
telephone number, including area code (212)
810-3333
N/A
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(Former name or
former address, if changed since last
report)
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Check
the appropriate box below if the Form 8-K filing is intended to simultaneously
satisfy the filing obligation of the registrant under any of the following
provisions (see General Instruction A.2. below):
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[
]Written communications pursuant to Rule 425 under the Securities Act (17
CFR 230.425)
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[
]Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17
CFR 240.14a-12)
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[
]Pre-commencement communications pursuant to Rule 14d-2(b) under the
Exchange Act (17 CFR 240.14d-2(b))
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[
]Pre-commencement communications pursuant to Rule 13e-4(c) under the
Exchange Act (17 CFR 240.13e-4(c))
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Item
3.02.
Unregistered
Sales of Equity Securities
On July 1, 2009, Anthracite Capital,
Inc. (the “Company”) issued 900,000 shares of its common stock, par value
$0.001, in exchange for $3,000,000 aggregate principal amount of its 11.75%
Convertible Senior Notes due 2027 with a holder of such notes pursuant to an
exchange agreement entered into on June 26, 2009 between the Company and the
holder. The shares of the Company’s common stock were issued in reliance upon
the exemption set forth in Section 3(a)(9) of the Securities Act of 1933 for
securities exchanged by the issuer and an existing security holder where no
commission or other remuneration is paid or given directly or indirectly by the
issuer for soliciting such exchange.
SIGNATURES
Pursuant to the requirements of the
Securities Exchange Act of 1934, the registrant has duly caused this report to
be signed on its behalf by the undersigned hereunto duly
authorized.
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ANTHRACITE
CAPITAL, INC.
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By:
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/s/
Richard M. Shea |
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Name:
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Richard
M. Shea
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Title: |
President
and Chief Operating Officer
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Dated:
July 1,
2009
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