-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AlKsT+NCr+PLvCws1TK3hOFP32bCWMWr7EnLw9FotCpiFCCaB/O9UCpIkvFsYQ8D Y48d1zGiDHJcMkp+JcrIYg== 0001116679-03-001192.txt : 20030403 0001116679-03-001192.hdr.sgml : 20030403 20030403151006 ACCESSION NUMBER: 0001116679-03-001192 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030403 GROUP MEMBERS: BURTON X. ROSENBERG GROUP MEMBERS: ROSENBERG-CT GENERAL PARTNERSHIP GROUP MEMBERS: SHELI Z. ROSENBERG SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL TRUST INC CENTRAL INDEX KEY: 0001061630 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 946181186 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-56371 FILM NUMBER: 03638493 BUSINESS ADDRESS: STREET 1: 410 PARK AVENUE STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126550220 MAIL ADDRESS: STREET 1: BATTLE FOWLER LLP STREET 2: 75 E 55TH ST CITY: NEW YORK STATE: NY ZIP: 10022 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROSENBERG SHELI Z CENTRAL INDEX KEY: 0001128477 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O CENDANT STREET 2: 9 WEST 57TH ST 37TH FL CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2124131836 MAIL ADDRESS: STREET 1: C/O CENDANT STREET 2: 9 WEST 57TH ST 37 FL CITY: NEW YORK STATE: NY ZIP: 10019 SC 13D/A 1 rosenberg13da.txt DATE OF EVENT: JANUARY 29, 2003 As filed with the Securities and Exchange Commission on April 3, 2003 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 1) Under the Securities Exchange Act of 1934 Capital Trust, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Class A Common Stock, par value $0.01 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 14052H100 - -------------------------------------------------------------------------------- (CUSIP Number) Michael L. Zuppone, Esq. Paul, Hastings, Janofsky & Walker LLP 75 East 55th Street New York, New York 10022 (212) 318-6000 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 29, 2003 ------------------------------------------------------------------------------- (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 that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box |_|. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13D - ---------------------- ------------------------- CUSIP No. 14052H100 Page 2 of 7 Pages --------- ----- ---- - ---------------------- ------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Rosenberg-CT General Partnership - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois - -------------------------------------------------------------------------------- SOLE VOTING POWER NUMBER OF 7 SHARES 419,423 BENEFICIALLY ---------------------------------------------------------- OWNED BY SHARED VOTING POWER EACH 8 REPORTING 0 PERSON ---------------------------------------------------------- WITH SOLE DISPOSITIVE POWER 9 419,423 ---------------------------------------------------------- SHARED DISPOSITIVE POWER 10 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 419,423 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.58% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- SCHEDULE 13D - ---------------------- ------------------------- CUSIP No. 14052H100 Page 3 of 7 Pages --------- ----- ---- - ---------------------- ------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Sheli Z. Rosenberg - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- SOLE VOTING POWER NUMBER OF 7 SHARES 32,122 BENEFICIALLY ---------------------------------------------------------- OWNED BY SHARED VOTING POWER EACH 8 REPORTING 419,423 PERSON ---------------------------------------------------------- WITH SOLE DISPOSITIVE POWER 9 32,122 ---------------------------------------------------------- SHARED DISPOSITIVE POWER 10 419,423 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 419,423 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.77% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- SCHEDULE 13D - ---------------------- ------------------------- CUSIP No. 14052H100 Page 4 of 7 Pages --------- ----- ---- - ---------------------- ------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Burton X. Rosenberg - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- SOLE VOTING POWER NUMBER OF 7 SHARES 0 BENEFICIALLY ---------------------------------------------------------- OWNED BY SHARED VOTING POWER EACH 8 REPORTING 419,423 PERSON ---------------------------------------------------------- WITH SOLE DISPOSITIVE POWER 9 0 ---------------------------------------------------------- SHARED DISPOSITIVE POWER 10 419,423 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 419,423 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.58% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- - ---------------------- ------------------------- CUSIP No. 14052H100 Page 5 of 7 Pages --------- ----- ---- - ---------------------- ------------------------- This Amendment No. 1 to Schedule 13D is filed by the Reporting Persons (as defined below) pursuant to rule 13d-2(a) under the Securities Exchange Act of 1934, as amended. This Amendment No. 1 to Schedule 13D amends and supplements the Schedule 13D, as filed with the Securities and Exchange Commission (the "SEC") on October 30, 2001 (the "Original Schedule 13D"). The Reporting Persons are: (i) Rosenberg-CT General Partnership, an Illinois general partnership ("Rosenberg-CT"); (ii) Ms. Sheli Z. Rosenberg ("Ms. Rosenberg"), who is a general partner of Rosenberg-CT; and (iii) Mr. Burton X. Rosenberg ("Mr. Rosenberg"), who is a general partner of Rosenberg-CT. Ms. Rosenberg and Mr. Rosenberg are the sole general partners of Rosenberg-CT. This statement relates to the shares of class A common stock, par value $0.01 per share ("Class A Common Stock") of Capital Trust, Inc., a Maryland corporation (the "Issuer"). The principal executive office of the Issuer is located at 410 Park Avenue, 14th Floor, New York, New York 10022. Item 5. Interest in Securities of the Issuer. ------------------------------------ Item 5 is amended as follows: (a) and (b) The aggregate percentage of shares of Class A Common Stock reported beneficially owned by the Reporting Persons as of the date of filing of this Amendment No. 1 to Schedule 13D is based upon 16,278,563 shares of Class A Common Stock issued and outstanding as of March 27, 2003 as reported in the Issuer's Annual Report on Form 10-K, as filed with the SEC on March 28, 2003. Rosenberg-CT holds of record and thereby directly beneficially owns and has the sole direct power to vote and dispose of 419,423 shares of Class A Common Stock (the "Rosenberg-CT Shares"). Ms. Rosenberg indirectly beneficially owns and shares the indirect power to vote and dispose of the Rosenberg-CT Shares. Mr. Rosenberg indirectly beneficially owns and shares the indirect power to vote and dispose of the Rosenberg-CT Shares. Ms. Rosenberg beneficially owns and will have the sole power to vote and dispose of 32,122 shares of Class A Common Stock issuable upon the conversion of stock units to obtain shares of Class a Common Stock that are, or become within 60 days, vested and exercisable. (c) On January 29, 2003, the Issuer repurchased warrants representing 8,528,467 shares of Class A Common Stock from Travelers Insurance Company, Citigroup Alternative Investments GP, LLC and Citigroup Alternative Investments General Real Estate Mezzanine - ---------------------- ------------------------- CUSIP No. 14052H100 Page 6 of 7 Pages --------- ----- ---- - ---------------------- ------------------------- Investments II, LLC (collectively, the "Citigroup Affiliates") for an aggregate purchase price of $2,132,116.75. (e) As of January 29, 2003, the Citigroup Affiliates and affiliates controlling and under common control with them no longer beneficially held more than 5% of the Class A Common Stock and therefore any obligation of the Reporting Persons to report beneficial ownership of the Class A Common Stock on Schedule 13D that may have arisen from the Stockholder Approval Agreement (as defined in the Original Schedule 13D) has terminated as of such date. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of Issuer. ---------------------------------------------------------------------- Item 6 is amended by adding the following: On March 31, 2002, June 30, 2002, September 30, 2002, December 31, 2002 and March 31, 2003, pursuant to the Issuer's incentive stock plan, Ms. Rosenberg was granted stock units which are immediately vested and convertible into 1,384, 1,520, 1,552, 1,623 and 1,412 shares of Class A Common Stock, respectively. To the best of knowledge of the Reporting Persons, except as described in this Amendment No. 1 to Schedule 13D, none of the Reporting Persons has effected any transactions in the Class A Common Stock during the period which commenced sixty days prior to the date of the filing of this Amendment No. 1 to Schedule 13D. SIGNATURE After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Rosenberg-CT General Partnership By: Sheli Z. Rosenberg and Burton X. Rosenberg, its general partners /s/ Sheli Z. Rosenberg -------------------- Sheli Z. Rosenberg /s/ Burton X. Rosenberg -------------------- Burton X. Rosenberg /s/ Sheli Z. Rosenberg ----------------------- SHELI Z. ROSENBERG /s/ Burton X. Rosenberg ----------------------- BURTON X. ROSENBERG -----END PRIVACY-ENHANCED MESSAGE-----