-----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, WAO700pz+9QJFj23qpK+xRCskUtNPZ91o7Wf+AWrhOLXGhMHu2bdtL5/vErpK02F onbxW0nTka5aZouxThhzPA== 0001116679-03-000229.txt : 20030211 0001116679-03-000229.hdr.sgml : 20030211 20030211132230 ACCESSION NUMBER: 0001116679-03-000229 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030207 FILED AS OF DATE: 20030211 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: HATKOFF CRAIG M CENTRAL INDEX KEY: 0001217123 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 MAIL ADDRESS: STREET 1: ONE WEST 72ND STREET CITY: NEWYORK STATE: NY ZIP: 10023 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: 03549506 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 frm4.txt REPORTING PERSON: CRAIG M. HATKOFF; DATED 2/7/03
- ----------------------------- ----------------------------- | FORM 4 | U.S. SECURITIES AND EXCHANGE COMMISSION | OMB APPROVAL | - ----------------------------- Washington, D.C. 20549 |---------------------------- [_] Check this box | OMB Number: 3235-0287 | if no longer subject STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES | 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 Trading Symbol| 6. Relationship of Reporting Person(s) | | Reporting Person* | | to Issuer (Check all applicable) | | | | | | | Capital Trust, Inc. (CT) | |X| Director |X| 10% Owner | | Hatkoff, Craig M. ---------------------------------------------- |_| Officer (give title |_| Other (specify| - --------------------------------------- 3. IRS | 4. Statement for | below) below) | | (Last) (First) (Middle) | Identification | Month/Day/Year| | | | Number of | | | | | Reporting | 2/7/03 | | | | Person, if an -------------------------------------------------------------------- | One West 72nd Street | entity | 5. If Amendment, | 7. Individual or Joint/Group Filing | - --------------------------------------- (voluntary) | Date of Orig- | (Check Applicable Line) | | (Street) | | inal (Month/ | | | | | Day/Year) | |_| Form filed by One Reporting Person | | | | | |X| Form filed by More than One Reporting | | New York, NY 10023 | | | Person | - ------------------------------------------------------------------------------------------------------------------------------------ | (City) (State) (Zip) | Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | - ------------------------------------------------------------------------------------------------------------------------------------ | 1. | 2. | 2A. | 3. | 4. | 5. | 6. | 7. | | Title of Security | Trans- | Deemed | Trans- | Securities Acquired (A) | Amount of | Owner- | Nature of| | (Instr. 3) | action | Execu- | action | or Disposed of (D) | Securities | ship | Indirect | | | Date | tion | Code | (Instr. 3, 4 and 5) | Beneficially | Form: | Bene- | | | | Date, | Instr. 8) | | Owned Follow- | Direct | ficial | | | (Month/ | if any --------------------------------------------------- ing Reported | (D) or | Owner- | | | Day/ | (Month/ | | | |(A)| | Transaction(s)| Indirect | ship | | | Year) | Day/ | | | |or | | (Instr. 3 | (I) | (Instr. | | | | Year) | Code | V | Amount |(D)| Price | and 4) | (Instr.4) | 4) | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | |by | | Class A Common Stock| 2/7/03 | | S | | 500,000 | D | $4.75 | 1,830,132(1) | I |partner- | | | | | | | | | | | |ship | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | Class A Common Stock| | | | | | | | 18,000 | D | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | Class A Common Stock| | | | | | | | | | | | Units | 3/31/02 | | A | V | 1,384 | A | | | D | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | Class A Common Stock| | | | | | | | | | | | Units | 6/30/02 | | A | V | 1,520 | A | | | D | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | Class A Common Stock| | | | | | | | | | | | Units | 9/30/02 | | A | | 1,551 | A | | | D | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | Class A Common Stock| | | | | | | | | | | | Units | 12/31/02| | A | | 1,624 | A | | 6,079 | D | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ 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). | Page 1 of 3 Pages
- ------------------------------------------------------------------------------------------------------------------------------------ | FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned | | (e.g., puts, calls, warrants, options, convertible securities) | - ------------------------------------------------------------------------------------------------------------------------------------ |1. |2. |3. |3A. |4. |5. |6. | |Title of Derivative Security |Conversion |Trans- |Deemed |Trans- |Number of Derivative Securities |Date Exer- | |(Instr. 3) |or Exercise|action |Execu- |action |Acquired (A) or Disposed of (D) |cisable and | | |Price of |Date |tion |Code |(Instr. 3, 4 and 5) |Expiration | | |Derivative |(Month/ |Date, |(Instr.| |Date | | |Security |Day/ |if any | 8) | |(Month/Day/ | | | |Year) |(Month/ | | |Year) | | | | |Day/ | | |------------------ | | | |Year) | | |Date |Expi- | | | | | |-----------------------------------------------|Exer- |ra- | | | | | | | | | |cis- |tion | | | | | | Code|V| (A) | (D) |able |Date | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | Page 2 of 3 Pages
- ------------------------------------------------------------------------------------------------------------------------------------ | FORM 4 (continued) Table II (continued) -- Derivative Securities Acquired, Disposed of, or Beneficially Owned | | (e.g., puts, calls, warrants, options, convertible securities) - ------------------------------------------------------------------------------------------------------------------------------------ |1. |7. |8. |9. |10. |11. | |Title of Derivative Security |Title and Amount of Underlying |Price of |Number of Derivative |Ownership|Nature of | |(Instr. 3) |Securities (Instr. 3 and 4) |Derivative |Securities Bene- |Form of |Indirect | | | |Security |ficially Owned |Deriv- |Beneficial | | | |(Instr. 5) |Following Reported |ative |Ownership | | | | |Transaction(s) |Security:|(Instr. 4) | | | | |(Instr. 4) |Direct | | | | | | |(D) or | | | |----------------------------------------| | |Indirect | | | | | Amount or | | |(I) | | | | | Number of | | |(Instr. | | | | Title | Shares | | |4) | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: | | See Continuation Page for footnotes. | | | /s/ Craig M. Hatkoff 2/10/03 ** Intentional misstatements or omissions of facts ----------------------------------- ----------------------- constitute Federal Criminal Violations. See 18 U.S.C. **Signature of Reporting Person Date 1001 and 15 U.S.C. 78ff(a). Page 3 of 3 Pages
CONTINUATION SHEET Craig M. Hatkoff Capital Trust, Inc. (CT) One West 72nd Street Form 4 - February 2003 New York, NY 10023 Explanation of responses: (1) Craig M. Hatkoff is the general partner of CMH Investment Partnership, LP ("CMH LP"). CMH LP sold 500,000 shares in a privately negotiated over-the-counter transaction. JOINT FILER INFORMATION Designated Filer: Craig M. Hatkoff Issuer & Ticker Symbol: Capital Trust, Inc. (CT) Date of Event Requiring Statement: 2/7/03 Other Reporting Person: 1. CMH Investment Partnership, LP c/o Capital Trust, Inc. 410 Park Avenue, 14th Floor New York, NY 10022 The Reporting Person listed above is a joint filer with Craig M. Hatkoff on this Form 4 since the Reporting Person listed above has a direct beneficial interest in the securities of the Issuer in the capacity described in Note 1 to the Form 4 (see the preceding Continuation Sheet). [signature on the following page] CMH Investment Partnership, LP By: /s/ Craig M. Hatkoff ------------------------ Name: Craig M. Hatkoff Title: General Partner -----END PRIVACY-ENHANCED MESSAGE-----