4//SEC Filing
WMF GROUP LTD 4
Accession 0001019056-00-000451
CIK 0001039206operating
Filed
Aug 15, 8:00 PM ET
Accepted
—
Size
16.6 KB
Accession
0001019056-00-000451
Insider Transaction Report
Form 4
No transactions or holdings reported in this filing.
Footnotes (6)
- [1]On June 23, 2000 in connection with consummation of a tender offer by Prudential Mortgage Capital Acquisition Corp. (the "Tender Offer") to purchase for cash all of the issued and outstanding shares, $.01 par value per share (the "Common Stock"), of The WMF Group, Ltd. (the "Company"). Mr. Winokur ceased to be a Director of the Company and he and Capricorn Investors II, L.P. ceased to be the beneficial owners of any shares of Common Stock.
- [2]Securities that were beneficially owned by Mr. Winokur, who may be deemed to have a pecuniary interest in the securities owned by Capricorn Investors II, L.P. ("Capricorn II") through Winokur Family Investors, LLC ("WFI"). WFI has limited partnership interests in Capricorn II and membership interests in Capricorn Holdings, LLC, the general partner of Capricorn II. WFI is controlled by Mr. Winokur and owned by Mr. Winokur and members of his immediate family. Mr. Winokur is the Manager of Capricorn Holdings, LLC. On November 22, 1999, WFI increased its ownership interest in Capricorn Holdings LLC. As a result, Mr. Winokur may have been deemed to have increased his beneficial ownership of Common Stock by 2,346 shares. As of November 22, 1999, other than with respect to 45,989 shares of Common Stock, Mr. Winokur disclaims beneficial ownership of the shares beneficially owned by WFI.
- [3]Securities that were beneficially owned by Mr. Winokur. On March 31, 2000, WFI decreased its ownership interest in Capricorn Holdings, LLC. As a result, Mr. Winokur may have been deemed to have decreased his beneficial ownership of Common Stock by 3,677 shares of Common Stock. As of March 31, 2000 other than with respect to 42,312 shares of Common Stock, Mr. Winokur disclaims beneficial ownership of the shares beneficially owned by WFI.
- [4]Options to acquire 5,000 shares of Common Stock (the "Option Shares") were granted to Capricorn Investors II, L.P. ("Capricorn II") on December 31, 1999 (the "1999 Option"). The 1999 Option was exercisable commencing on June 30, 2000, at a price per share equal to the fair market value of the Option Shares on December 31, 1999.
- [5]Securities that were acquired and directly owned by Capricorn II. At March 31, 2000, Capricorn II held 1,730,532 shares of Common Stock and 15,000 derivative securities of the Company. The 15,000 derivative securities directly owned by Capricorn II at March 31, 2000 consisted of (i) rights to acquire 5,000 shares of Common Stock pursuant to an option granted to Capricorn II in 1997 (the "1997 Option"), (ii) rights to acquire 5,000 shares of Common Stock pursuant to an Option granted to Capricorn II in 1998 (the "1998 Option") and (iii) rights to acquire 5,000 shares of Common Stock pursuant to the 1999 Option.
- [6]Securities that were beneficially owned by Mr. Winokur, who may be deemed to have a pecuniary interest in the securities owned by Capricorn II through WFI. As of March 31, 2000, Other than with respect to 399 derivative securities (such 399 derivative securities consisting of (i) rights to acquire 133 shares of Common Stock pursuant to the 1997 Option, (ii) rights to acquire 133 shares of Common Stock pursuant to the 1998 Option, and (iii) rights to acquire 133 shares of Common Stock pursuant to the 1999 Option), Mr. Winokur disclaims beneficial ownership of the derivative securities beneficially owned by WFI. 2 /s/ Herbert S. Winokur, Jr. August 15, 2000 **Intentional misstatements or omissions of facts constitute Federal Criminal --------------------------- Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Herbert S. Winokur, Jr. Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Capricorn Investors II, L.P. August 15, 2000 By: Capricorn Holdings, LLC Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently /s/ Herbert S. Winokur, Jr. valid OMB Number. --------------------------- Herbert S. Winokur, Jr. Title: Manager 3 FORM 4 - ADDITIONAL REPORTING PERSON INFORMATION 1. Name and Address of Additional Reporting Persons: Capricorn Investors II, L.P. 30 East Elm Street Greenwich, Connecticut 06830 4 -----END PRIVACY-ENHANCED MESSAGE-----
Documents
Issuer
WMF GROUP LTD
CIK 0001039206
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001039206
Filing Metadata
- Form type
- 4
- Filed
- Aug 15, 8:00 PM ET
- Size
- 16.6 KB