SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
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SCHEDULE 13D
(RULE 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a)
(AMENDMENT NO. 1)
CAPSTEAD MORTGAGE CORPORATION
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(NAME OF ISSUER)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
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(TITLE OF CLASS OF SECURITIES)
14067E 10 0
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(CUSIP NUMBER)
Randal A. Nardone
Chief Operating Officer and Secretary
Fortress Registered Investment Trust
1301 Avenue of the Americas
New York, New York 10019
(212) 798-6100
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(NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON
AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS)
COPY TO:
J. Gregory Milmoe
Skadden, Arps, Slate, Meagher & Flom LLP
Four Times Square
New York, New York 10036-6522
(212) 735-3000
January 12, 2000
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(DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT)
If the filing person has previously filed a statement on Schedule 13G
to report the acquisition which is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1(e), 13d(f) or 13d-1(g), check
the following box |_| .
CUSIP NO. 14067 10 0 13D
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
FORTRESS CAP LLC (I.R.S. EMPLOYER IDENTIFICATION NUMBER [ ])
- ----------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
NOT APPLICABLE (b) |_|
- ----------------------------------------------------------------------------
3 SEC USE ONLY
- ----------------------------------------------------------------------------
4 SOURCE OF FUNDS
NOT APPLICABLE
- ----------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUAN TO
ITEM 2(d) or 2(e) |_|
- ----------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
- ----------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER - 0 -
SHARES -------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER - 10,756,000 -
OWNED BY -------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER - 0 -
REPORTING -------------------------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER- 10,756,000 -
- ----------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-10,756,000 -
- ----------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN S|_|ES
NOT APPLICABLE
- ----------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
19.05% (BASED ON 45,719,023 SHARES OF COMMON STOCK OUTSTANDING AS OF
JANUARY 20, 2000 AND ASSUMING CONVERSION OF THE PREFERRED STOCK
BENEFICIALLY OWNED BY THE REPORTING PERSON)
- ----------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ----------------------------------------------------------------------------
CUSIP NO. 14067 10 0 13D PAGE 3 OF 10 PAGES
- -------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
FORTRESS REGISTERED INVESTMENT TRUST (I.R.S. EMPLOYER
IDENTIFICATION NUMBER [ ])
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
NOT APPLICABLE (b) |_|
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEM 2(d) or 2(e) |_|
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
- -------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER - 0 -
SHARES
BENEFICIALLY 8 SHARED VOTING POWER - 10,756,000 -
OWNED BY
EACH 9 SOLE DISPOSITIVE POWER - 0 -
REPORTING
PERSON WITH
10 SHARED DISPOSITIVE POWER- 10,756,000 -
- -------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-10,756,000 -
- -------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_|
NOT APPLICABLE
- -------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
19.05% (BASED ON 45,719,023 SHARES OF COMMON STOCK OUTSTANDING AS OF
JANUARY 20, 2000 AND ASSUMING CONVERSION OF THE PREFERRED STOCK
BENEFICIALLY OWNED BY THE REPORTING PERSON)
- -------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- -------------------------------------------------------------------------------
CUSIP NO. 14067 10 0 13D PAGE 4 OF 10 PAGES
- -------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
FORTRESS INVESTMENT FUND LLC (I.R.S. EMPLOYER IDENTIFICATION
NUMBER [ ])
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
NOT APPLICABLE (b) |_|
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS
NOT APPLICABLE
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) |_|
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
- -------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER - 0 -
SHARES
BENEFICIALLY 8 SHARED VOTING POWER - 10,756,000 -
OWNED BY
EACH 9 SOLE DISPOSITIVE POWER - 0 -
REPORTING
PERSON WITH
10 SHARED DISPOSITIVE POWER- 10,756,000 -
- ----------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-10,756,000 -
- ----------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
NOT APPLICABLE
- ----------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
19.05% (BASED ON 45,719,023 SHARES OF COMMON STOCK OUTSTANDING AS OF
JANUARY 20, 2000 AND ASSUMING CONVERSION OF THE PREFERRED STOCK
BENEFICIALLY OWNED BY THE REPORTING PERSON)
- ----------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- -------------------------------------------------------------------------------
CUSIP NO. 14067 10 0 13D PAGE 5 OF 10 PAGES
- -------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
FORTRESS PRINCIPAL INVESTMENT HOLDINGS LLC (I.R.S. EMPLOYER
IDENTIFICATION NUMBER [ ])
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_|
NOT APPLICABLE (b) |_|
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 SOURCE OF FUNDS
NOT APPLICABLE
- -------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e)
- -------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
- -------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER - 0 -
SHARES
BENEFICIALLY 8 SHARED VOTING POWER - 10,756,000 -
OWNED BY
EACH 9 SOLE DISPOSITIVE POWER - 0 -
REPORTING
PERSON WITH
10 SHARED DISPOSITIVE POWER- 10,756,000 -
- ----------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-10,756,000 -
- ----------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN S|_|ES
NOT APPLICABLE
- ----------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
19.05% (BASED ON 45,719,023 SHARES OF COMMON STOCK OUTSTANDING AS OF
JANUARY 20, 2000 AND ASSUMING CONVERSION OF THE PREFERRED STOCK
BENEFICIALLY OWNED BY THE REPORTING PERSON)
- ----------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
- ----------------------------------------------------------------------------
This Amendment No. 1 (this "Amendment") to the Statement on Schedule
13D dated January 24, 2000 (the "Schedule 13D") filed by Fortress Cap LLC,
a Delaware limited liability company ("Cap LLC"), Fortress Registered
Investment Trust, a Delaware business trust ("Fortress Trust"), Fortress
Investment Fund LLC, a Delaware limited liability company ("Fortress Fund")
and Fortress Principal Investment Holdings LLC, a Delaware limited
liability company ("FPIH"), relates to the common stock, par value $.01 per
share (the "Common Stock"), of Capstead Mortgage Corporation, a Maryland
corporation (the "Issuer"). This Amendment is filed jointly by Cap LLC,
Fortress Trust, Fortress Fund and FPIH. All capitalized terms used but not
defined herein have the meanings ascribed to them in the Schedule 13D.
Annex A to the Schedule 13D is hereby amended by adding the following:
TRUSTEES OF FORTRESS REGISTERED
INVESTMENT TRUST
The name, principal occupation and principal business address of each
of the members of Fortress Registered Investment Trust are listed below.
<TABLE>
<CAPTION>
NAME PRINCIPAL OCCUPATION PRINCIPAL BUSINESS ADDRESS
- ------------------------------------------------------------------------------------------------------
<S> <C> <C>
Wesley R. Edens Chief Executive Officer and Fortress Principal Investment
Chairman of the Board of Holdings, LLC, Inc.
Directors of Fortress Investment 1301 Avenue of the Americas,
Corp. 42nd Floor
New York, NY 10019
Randal A. Nardone Chief Operating Officer and Fortress Principal Investment
Secretary of Fortress Investment Holdings, LLC, Inc.
Corp. 1301 Avenue of the Americas,
42nd Floor
New York, NY 10019
Brian S. Abrams Portfolio Manager -Venture DuPont Pension Fund Investment
Investments, DuPont Pension One Righter Pkwy, Suite 3200
Fund Investment Wilmington, DE 19803
John C. Deterding Owner, Deterding Associates Deterding Associates
107 North Waterview
Richardson, TX 75080
Robert H. Gidel Managing Partner, Liberty Realty Liberty Realty Partners
Partners 2626 Cole Avenue, Suite 700
Dallas, TX 75204
Dennis Porterfield Retired 321 Race Track Road
Ho-Ho-Kus, NJ 07423
Ashu Rajbhandari Senior Investment Officer - Washington State Investment
Private Equity, Washington State Board
Investment Board 2424 Heritage Court SW
Olympia, WA 98504
John C. Sites Jr. General Partner, Daystar Partners Daystar Partners
411 Theodore Fremd Avenue
Suite 100
Rye, NY 10580
</TABLE>
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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.
February 22, 2000
FORTRESS REGISTERED
INVESTMENT TRUST
By: /s/ Randal A. Nardone
-----------------------------------------
Randal A. Nardone
as Secretary and Chief Operating Officer
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.
February 22, 2000
FORTRESS CAP LLC
By: /s/ Randal A. Nardone
----------------------------------------------
Randal A. Nardone
as Secretary and Chief Operating Officer
of Fortress Registered Investment Trust,
sole member of Fortress Cap LLC
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.
February 22, 2000
FORTRESS INVESTMENT FUND, LLC
By: /s/ Randal A. Nardone
---------------------------------------
Randal A. Nardone
as Chief Operating Officer and Secretary of
Fortress Fund MM, LLC, managing member
of Fortress Investment Fund, LLC
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.
February 22, 2000
FORTRESS PRINCIPAL INVESTMENT
HOLDINGS LLC
By:/s/ Randal A. Nardone
----------------------------------
Randal A. Nardone
as Secretary
