4/A 1 w52433de4a.txt FORM 4 FRANCES J. CAREY 1 --------------------------- OMB APPROVAL --------------------------- ------- OMB Number: 3235-0287 FORM 4A Expires: December 31, 2001 ------- Estimated average burden hours per response .... 0.5 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP / / Check this box if no longer subject to Filed pursuant to Section 16(a) of the Securities Section 16. Form 4 Exchange Act of 1934, Section 17(a) of the or Form 5 obligations Public Utility Holding Company Act of 1935 may continue. See or Section 30(f) of the Investment Company Instruction 1(b). Act of 1940 (Print or Type Responses) ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) Carey, Francis J. W.P. Carey & Co. LLC ("WPC") to Issuer (Check all applicable) --------------------------------------------------------------------------------------------- X Director 10% Owner (Last) (First) (Middle) 3. I.R.S. Identi- 4. Statement for ---- --- fication Number Month/Year X Officer (give Other 485 Lewis Lane of Reporting 4/2001 ---- title --- (specify --------------------------------------------- Person, if an ------------------- below) below) entity (Street) (voluntary) Vice Chairman ---------------------------- ---------------------------------------------------------- 5. If Amendment, 7. Individual or Joint/Group Filing Date of Original (Check Applicable Line) (Month/Year) X Form filed by One ---- Reporting Person ---- Form filed by More than Ambler, PA 19002 ###-##-#### 4/2001 One Reporting Person ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- (Instr. 3) action tion or Disposed of (D) curities Benefi- ship Date Code (Instr. 3, 4 and 5) cially Owned at Form: (Instr. 8) End of Month Direct (Month/ (Instr. 3 and 4) (D) or Day/ --------------------------------------- Indirect Year) Code V Amount (A) or Price (I) (D) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ Listed Shares(1) 4/12/01 J V 611 A 19.85 88,995 D ------------------------------------------------------------------------------------------------------------------------------------ Listed Shares(2) 4/16/01 A V 39 A 19.85 88,995 D ------------------------------------------------------------------------------------------------------------------------------------ Listed Shares(1) 4/16/01 J V 1,204 A 19.85 88,995 D ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ (1) Reflects dividend reinvestment plan transaction exempt under Section 16a-11. Amendment replaces incorrect transaction code on original filing. (2) Correcting transaction code to reflect transaction exempt under Section 16b-3.
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FORM 4A (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Ac- Expiration Securities Deriv- Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative Deriv- Day/ Disposed of (D) (Month/Day/ Secur- ative Year) (Instr. 3, 4, Year) ity Security and 5) (Instr. 5) ----------------------------------- Date Expira- Amount or -------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares ------------------------------------------------------------------------------------------------------------------------------------ Option 18.26 4/1/01 A 150,000 (3) 1/2/11 Common 150,000 -- Stock ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 9. Number of 10. Ownership Security Derivative Form of (Instr. 3) Securities Derivative Beneficially Securities Owned at End Beneficially of Month Owned at (Instr. 4) End of Month (Instr. 4) ------------------------------------------------------------------------------------------------------- Option -- D ------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------- (3) -- The options vest in three equal annual installments beginning January 2, 2002 Explanation of Responses: ------------------------------------ ----------- **Signature of Reporting Person Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). ** 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 is insufficient, see Instruction 6 for procedure.
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