-----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, THrrxK7njwGgWqQGkBiveDcwlj9HVKuq1ZYiB3uh4HXhZJ9Tr85NhoxO9+1woh/R H7hEo9bqfbQ1hbnXbuaZaA== 0001116679-02-001446.txt : 20020821 0001116679-02-001446.hdr.sgml : 20020821 20020821154309 ACCESSION NUMBER: 0001116679-02-001446 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020531 FILED AS OF DATE: 20020821 COMPANY DATA: COMPANY CONFORMED NAME: CROCKER DOUGLAS II CENTRAL INDEX KEY: 0001065743 OTHER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 445 E. NORTH WATER STREET APT. 605 CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 2123186000 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL TRUST INC CENTRAL INDEX KEY: 0001061630 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 946181186 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14788 FILM NUMBER: 02744821 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 4 1 form4.txt CAPITAL TRUST, INC. - ----------------------------- ----------------------------- | FORM 4 | U.S. SECURITIES AND EXCHANGE COMMISSION | OMB APPROVAL | - ----------------------------- Washington, D.C. 20549 |---------------------------- [X] Check this box | OMB Number: 3235-0287 | if no longer subject STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | Expires: January 31, 2005 | to Section 16. Form 4 | Estimated average burden | or Form 5 obligations Filed pursuant to Section 16(a) of the Securities Exchange | hours per response....0.5 | may continue. See Act of 1934, Section 17(a) of the Public Utility Holding ----------------------------- Instruction 1(b). Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 (Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ | 1. Name and Address of | 2. Issuer Name and Ticker or | 6. Relationship of Reporting Person(s) | | Reporting Person* | Trading Symbol | to Issuer (Check all applicable) | | | Capital Trust, Inc.(CT) | |_| Director |_| 10% Owner | | ---------------------------------------------- |_| Officer (give title |X| Other (specify | | Crocker-CT General Partnership | 3. IRS | 4. Statement for | below) below) | - -------------------------------------- Identification | Month/Year | May have been deemed to be a part of a 13(d)| | (Last) (First) (Middle) | Number of | | group prior to disposition of securities to | | | Reporting Person, | May, 2002 | which this Form 4 relates | | | Person, if an --------------------------------------------------------------------- | 445 E. North Water Street | entity | 5. If Amendment, | 7. Individual or Joint/Group Filing | - -------------------------------------- (voluntary) | Date of | (Check Applicable Line) | | (Street) | | Original | | | | | (Month/Year) | |_| Form filed by One Reporting Person | | | | | |X| Form filed by More than One Reporting | | Chicago IL 60611 | | | Person | - ------------------------------------------------------------------------------------------------------------------------------------ | (City) (State) (Zip) | Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | - ------------------------------------------------------------------------------------------------------------------------------------ | 1. | 2. | 3. | 4. | 5. | 6. | 7. | | Title of Security | Trans- | Trans- | Securities Acquired (A) | Amount of | Owner- | Nature of | | (Instr. 3) | action | action | or Disposed of (D) | Securities | ship | Indirect | | | Date | Code | (Instr. 3, 4 and 5) | Beneficially | Form: | Bene- | | | | Instr. 8) | | Owned at End | Direct | ficial | | | (Month/ --------------------------------------------------- of Month | (D) or | Owner- | | | Day/ | | | |(A)| | | Indirect | ship | | | Year) | | | |or | | (Instr. 3 | (I) | (Instr. | | | | Code | V | Amount |(D)| Price | and 4) | (Instr.4) | 4) | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | Class A Common Stock | 5/1/02 | S | | 209,711 | D | $4.80 | 0 | N/A | N/A | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ * If the form is filed by more than one reporting person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Response) (Over) 1 of 3
- ------------------------------------------------------------------------------------------------------------------------------------ | FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned | | (e.g., puts, calls, warrants, options, convertible securities) | - ------------------------------------------------------------------------------------------------------------------------------------ |1. |2. |3. |4. |5. |6. |7. |8. |9. |10. |11. | |Title of |Conver- |Trans- |Trans- |Number of |Date Exer- |Title and Amount |Price |Number |Owner- |Nature | |Derivative |sion |action |action |Derivative |cisable and |of Underlying |of |of |ship |of | |Security |or |Date |Code |Securities |Expiration |Securities |Deriv- |Deriv- |Form |In- | |(Instr. 3) |Exer- | |(Instr. |Acquired (A) |Date |(Instr. 3 and 4) |ative |ative |of |direct | | |cise |(Month/ | 8) |or Disposed |(Month/Day/ | |Secur- |Secur- |Deriv- |Bene- | | |Price |Day/ | |of(D) | Year) | |ity |ities |ative |ficial | | |of |Year) | |(Instr. 3, | | |(Instr. |Bene- |Secur- |Owner- | | |Deriv- | | | 4 and 5) | | | 5) |ficially |ity: |ship | | |ative | | | |------------------------------------| |Owned |Direct |(Instr.| | |Secur- | | | | | | | | |at End |(D) or | 4) | | |ity | | | | | | |Amount | |of |In- | | | | | | | |Date |Expi- | |or | |Month |direct | | | | | -----------------------|Exer- |ra- | |Number | |(Instr. |(I) | | | | | | | | | |cis- |tion | |of | | 4) |(Instr.| | | | | |Code |V| (A) | (D) |able |Date | Title |Shares | | | 4) | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: ** Intentional misstatements or omissions of facts ** Crocker-CT General Partner constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). By: /s/ Douglas Crocker II 8/21/02 ------------------------------------ ----------------------- Note: File three copies of this Form, one of which Douglas Crocker II, General Partner Date must be manually signed. If space is insufficient, see Instruction 6 for procedure. By: /s/ Cindy McHugh 8/21/02 ------------------------------------ ----------------------- Cindy McHugh, General Partner Date 2 of 3
CONTINUATION SHEET RELATING TO JOINT FORM 4 FILED BY CROCKER - CT GENERAL PARTNERSHIP JOINT FILER INFORMATION DESIGNATED FILER: Crocker - CT General Partnership ISSUER & TICKLER SYMBOL: Capital Trust, Inc. (CT) DATE OF EVENT REQUIRING STATEMENT: 5/1/02 OTHER REPORTING PERSONS: 1. Douglas Crocker II 445 E. North Water Street Apt. 605 Chicago, IL 60611 2. Cindy McHugh 445 E. North Water Street Apt. 605 Chicago, IL 60611 The Reporting Persons listed above are filing this Form 4 jointly with Crocker - CT General Partnership ("Crocker - CT") because as the general partners of Crocker - CT, they had an indirect beneficial interest in the securities held by Crocker - CT prior to the disposition to which this Form 4 relates. /s/ Douglas Crocker II 8/21/02 ---------------------------- ----------- Douglas Crocker II Date /s/ Cindy McHugh 8/21/02 ---------------------------- ----------- Cindy McHugh Date 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----