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OMB APPROVAL
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OMB Number 3235-0104
Expires: December 31, 2001
Estimated average burden
hours per response ....... 1.0
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 5
ANNUAL 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(f) of the Investment Company Act of 1940
[ ] Check this box if no longer subject of Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
[ ] Form 3 Holdings Reported.
[ ] Form 4 Transactions Reported.
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1. Name and Address of Reporting Person*
GE CAPITAL EQUITY INVESTMENTS, INC.
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(Last) (First) (Middle)
120 LONG RIDGE ROAD
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(Street)
STAMFORD CONNECTICUT 06927
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
CHARLES E. SMITH RESIDENTIAL REALTY, INC. (SRW:NYSE)
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3. IRS or Social Security Number of Reporting Person (Voluntary)
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4. Statement for Month/Year
01/00
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[ ] Director [ X ] 10% Owner
[ ] Officer (give title below) [ ] Other (specify below)
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7. Individual or Joint/Group Reporting
(Check all applicable)
[ ] Form Filed by One reporting Person
[ X ] Form Filed by More than One reporting Person
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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<TABLE>
<CAPTION>
5. 6.
4. Amount of Owner-
Security Acquired (A) or Securities ship
Disposed of (D) Beneficially Form: 7.
(Instr. 3, 4 and 5) Owned at End Direct Nature of
2. 3. ----------------------------- of Issuer's (D) or Indirect
1. Transaction Transaction (A) Fiscal Year Indirect Beneficial
Title of Security Date Code Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (Month/Day/Year) (Instr. 8) (D) & 4) (Instr.4) (Instr. 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C>
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* If the form is filed by more than one person, see instruction 4(b)(iv).
THIS FORM IS FILED BY GE CAPITAL EQUITY INVESTMENTS, INC. ("GE
EQUITY") FOR AND ON BEHALF OF ITSELF, GENERAL ELECTRIC CAPITAL CORPORATION
("GE CAPITAL"), GENERAL ELECTRIC CAPITAL SERVICES, INC. ("GECS") AND
GENERAL ELECTRIC COMPANY ("GE") (COLLECTIVELY, THE "REPORTING PERSONS"). GE
EQUITY IS A WHOLLY-OWNED SUBSIDIARY OF GE CAPITAL; GE CAPITAL IS A
SUBSIDIARY OF GECS; AND GECS IS WHOLLY-OWNED SUBSIDIARY OF GE. GE EQUITY
AND ITS AFFILIATES, GE CAPITAL, GE AND GECS MAY BE DEEMED TO CONSTITUTE A
"GROUP" AS SUCH TERM IS DEFINED FOR PURPOSES OF SECTION 13(D) OF THE
SECURITIES EXCHANGE ACT OF 1934, AS AMENDED, WITH RESPECT TO HOLDINGS OF
EQUITY SECURITIES OF THE ISSUER. HOWEVER, NONE OF THE REPORTING PERSONS
AFFIRMS THE EXISTENCE OF A "GROUP" FOR SUCH PURPOSES, AND THIS FORM SHOULD
NOT BE CONSTRUED AS AN ADMISSION THAT ANY REPORTING PERSON IS THE
BENEFICIAL OWNER OF ANY SECURITIES OTHER THAN THOSE EXPRESSLY INDICATED ON
THIS FORM. GECS DISCLAIMS BENEFICIAL OWNERSHIP OF THE SECURITIES REPORTED
HEREIN. GE DISCLAIMS BENEFICIAL OWNERSHIP OF THE SECURITIES REPORTED
HEREIN.
2270 (3/99)
<PAGE>
FORM 5 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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<TABLE>
<CAPTION>
9. 10.
Number Owner-
of ship
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- Securities Date Securities Price Bene- ity: In-
cise 3. Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- 4. or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Trans- of (D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date action (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ Code 4 and 5) Date Expira- Number ity Year (I) ship
Security Secur- Day/ (Instr. ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) 8) (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
SERIES H COMMON
PREFERRED STOCK $38.50 9/13/99 P 1,800,00 9/13/99 N.A. STOCK 1,168,831 $24.778 1,800,000 D N.A.
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SERIES H COMMON
PREFERRED UNITS(1) $38.50 9/13/99 P 1,800,00 9/13/99 N.A. STOCK 1,168,831 $24.778 1,800,000 D N.A.
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</TABLE>
(1) Series H Preferred Units were issued by Charles E. Smith Residential
Realty, L.P.
GE CAPITAL EQUITY INVESTMENTS, INC.
By: /s/ Michael E. Pralle February 14, 2000
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Name: Michael E. Pralle Date
Title: President/ General Manager
** 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 provided is insufficient, see Instruction 6 for procedure.
<PAGE>
Joint Filer Information
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Name: General Electric Company
Address: 3135 Easton Turnpike
Fairfield, Connecticut 06431
Designated Filer: GE Capital Equity Investments, Inc.
Issuer & Ticker Symbol: Charles E. Smith Residential Realty, Inc. (SRW:NYSE)
Date of Event
Requiring Statement: September 13, 1999
Signature:
GENERAL ELECTRIC COMPANY
By: /s/ Michael E. Pralle
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Name: Michael E. Pralle
Title: Attorney-in-Fact*
*Power of attorney attached hereto as Exhibit 1.
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Joint Filer Information
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Name: General Electric Capital Corporation
Address: 260 Long Ridge Road
Stamford, Connecticut 06297
Designated Filer: GE Capital Equity Investments, Inc.
Issuer & Ticker Symbol: Charles E. Smith Residential Realty, Inc. (SRW:NYSE)
Date of Event
Requiring Statement: September 13, 1999
Signature:
GENERAL ELECTRIC CAPITAL CORPORATION
By: /s/ Michael E. Pralle
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Name: Michael E. Pralle
Title: Vice President
<PAGE>
Joint Filer Information
Name: General Electric Capital Services, Inc.
Address: 260 Long Ridge Road
Stamford, Connecticut 06297
Designated Filer: GE Capital Equity Investments, Inc.
Issuer & Ticker Symbol: Charles E. Smith Residential Realty, Inc. (SRW:NYSE)
Date of Event
Requiring Statement: September 13, 1999
Signature:
GENERAL ELECTRIC CAPITAL SERVICES, INC.
By: /s/ Michael E. Pralle
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Name: Michael E. Pralle
Title: Attorney-in-Fact*
* Power of attorney attached hereto as Exhibit 2.
<PAGE>
Joint Filer Information
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Name: GE Capital Equity Investments, Inc.
Address: 120 Long Ridge Road
Stamford, Connecticut 06297
Designated Filer: GE Capital Equity Investments, Inc.
Issuer & Ticker Symbol: Charles E. Smith Residential Realty, Inc. (SRW:NYSE)
Date of Event
Requiring Statement: September 13, 1999
Signature:
GE CAPITAL EQUITY INVESTMENTS, INC.
By: /s/ Michael E. Pralle
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Name: Michael E. Pralle
Title: President/ General Manager
EXHIBIT 1
POWER OF ATTORNEY
The undersigned, General Electric Company, a New York corporation
(hereinafter referred to as the "Corporation") does hereby make, constitute
and appoint the persons listed below as the Corporation's true and lawful
agent and attorney-in-fact (hereinafter referred to as the "Attorney") to
act either together or alone in the name and on behalf of the Corporation
for and with respect to the matters hereinafter described.
Name of Attorney: Joan C. Amble
Nancy E. Barton
Jeffrey S. Werner
Michael A. Gaudino
J. Gordon Smith
Michael E. Pralle
Paul J. Licursi
Each Attorney shall have the power and authority to do the following:
To execute and deliver any Schedule 13D, Schedule 13G or Forms 3, 4
and 5 or any amendments thereto required to be filed with the
Securities and Exchange Commission under the Securities Exchange Act
of 1934 on behalf of the Corporation with regard to any securities
owned by General Electric Capital Services, Inc., General Electric
Capital Corporation or any of their subsidiaries.
And, in connection with the foregoing, to execute and deliver all
documents, acknowledgments, consents and other agreements and to take such
further action as may be necessary or convenient for the Corporation in
order to more effectively carry out the intent and purpose of the
foregoing.
Agreements, commitments, documents, instruments, and other writings
executed by the Attorney in accordance with the terms hereof shall be
binding upon the Corporation without attestation and without affixation of
the seal of the Corporation. The Power of Attorney conferred hereby shall
not be delegable by any Attorney. The Attorney shall serve without
compensation for acting in the capacity of agent and attorney-in-fact
hereunder.
Unless sooner revoked by the Corporation, this Power of Attorney shall
be governed under the laws of the State of New York and the authority of
the Attorney hereunder shall terminate on March 31, 2000.
IN WITNESS WHEREOF, the Corporation has caused this Power of Attorney
to be executed, attested and its corporate seal to be affixed pursuant to
authority granted by the Corporation's board of directors, as of the 30th
day of April, 1998.
General Electric Company
(Corporate Seal) By: /s/ Philip D. Ameen
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Philip D. Ameen, Vice President
Attest: Robert E. Healing
/s/ Robert E. Healing
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Robert E. Healing,
Attesting Secretary
EXHIBIT 2
POWER OF ATTORNEY
The undersigned, General Electric Capital Services, Inc., a
Delaware corporation (hereinafter referred to as the "Corporation") does
hereby make, constitute and appoint the persons listed below as the
Corporation's true and lawful agent and attorney-in-fact (hereinafter
referred to as the "Attorney") to act either together or alone in the name
and on behalf of the Corporation for and with respect to the matters
hereinafter described.
Name of Attorney: Michael A. Gaudino
J. Gordon Smith
Michael E. Pralle
Paul J. Licursi
Each Attorney shall have the power and authority to do the
following:
To execute and deliver any Schedule 13D, Schedule 13G or Forms 3,
4 and 5 or any amendments thereto required to be filed with the
Securities and Exchange Commission under the Securities Exchange
Act of 1934 on behalf of the Corporation with regard to any
securities owned by the Corporation, General Electric Capital
Corporation or any of their subsidiaries.
And, in connection with the foregoing, to execute and deliver all
documents, acknowledgments, consents and other agreements and to take such
further action as may be necessary or convenient for the Corporation in
order to more effectively carry out the intent and purpose of the
foregoing.
Agreements, commitments, documents, instruments, and other
writings executed by the Attorney in accordance with the terms hereof shall
be binding upon the Corporation without attestation and without affixation
of the seal of the Corporation. The Power of Attorney conferred hereby
shall not be delegable by any Attorney. The Attorney shall serve without
compensation for acting in the capacity of agent and attorney-in-fact
hereunder.
Unless sooner revoked by the Corporation, this Power of Attorney
shall be governed under the laws of the State of New York and the authority
of the Attorney hereunder shall terminate on March 31, 2000.
IN WITNESS WHEREOF, the Corporation has caused this Power of
Attorney to be executed, attested and its corporate seal to be affixed
pursuant to authority granted by the Corporation's board of directors, as
of the 30th day of April, 1998.
General Electric Capital Services, Inc.
(Corporate Seal) By: /s/ Nancy E. Barton
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Nancy E. Barton, Senior Vice President
Attest: Brian T. McAnaney
/s/ Brian T. McAnaney
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Brian T. McAnaney, Assistant Secretary
