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