-----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, BiW8GBloMggCZyoNkvnDUdVb4iY/TTd/nX5yMmGB1TrcpoZ7jc8tBnCD5X6mhZga CzE2QZEmzM6yEQA6KAXJwA== 0001116679-03-000395.txt : 20030306 0001116679-03-000395.hdr.sgml : 20030306 20030306144507 ACCESSION NUMBER: 0001116679-03-000395 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030228 FILED AS OF DATE: 20030306 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: OSWALD BRIAN H CENTRAL INDEX KEY: 0001219862 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 235 E 40TH STREET STREET 2: APT #33H CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 2126550256 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14788 FILM NUMBER: 03594509 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 3 1 frm3.txt REPORTING PERSON: BRIAN H. OSWALD
- ----------------------------- ----------------------------- | FORM 3 | U.S. SECURITIES AND EXCHANGE COMMISSION | OMB APPROVAL | - ----------------------------- Washington, D.C. 20549 |---------------------------- | OMB Number: 3235-0104 | INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES | Expires: January 31, 2005 | | Estimated average burden | Filed pursuant to Section 16(a) of the Securities Exchange | hours per response....0.5 | Act of 1934, Section 17(a) of the Public Utility Holding ----------------------------- Company Act of 1935 or Section 30(h) of the (Print or Type Responses) Investment Company Act of 1940 - ------------------------------------------------------------------------------------------------------------------------------------ | 1. Name and Address of | 2. Date of Event | 4. Issuer Name and Ticker or | 6. If Amendment, | | Reporting Person* | Requiring | Trading Symbol | Date of Original | | | Statement | | (Month/Day/Year) | | | (Month/Day/Year) | | | | Oswald, Brian H. | | Capital Trust, Inc. (CT) | | - ---------------------------------------- February 28, 2003 ----------------------------------------- | | (Last) (First) (Middle) -----------------------| 5. Relationship of Reporting Person(s)------------------------------ | | 3. IRS | to Issuer (Check all applicable) | 7. Individual or | | | Identification | | Joint/Group Filing | | 235 E. 40th Street, Apt. 33H | Number of | |_| Director |_| 10% Owner | (Check Applicable Line) | | | Reporting Person,| |X| Officer |_| Other | | - ---------------------------------------- if an entity | (give (specify | |X| Form filed by | | (Street) | (voluntary) | title below) | One Reporting Person | | | | below) | | | | | | |_| Form filed by More than| | New York, NY 10016 | | | One Reporting Person | | | | Chief Financial Officer | | - ------------------------------------------------------------------------------------------------------------------------------------ | (City) (State) (Zip) | Table I -- Non-Derivative Securities Beneficially Owned | - ------------------------------------------------------------------------------------------------------------------------------------ | 1. Title of Security | 2. Amount of Securities | 3. Ownership Form: | 4. Nature of Indirect Beneficial | | (Instr. 4) | Beneficially Owned | Direct (D) or | Ownership (Instr. 5) | | | (Instr. 4) | Indirect (I) | | | | | (Instr. 5) | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | Class A Common Stock | 40,894 | 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 5(b)(v). | Page 1 of 2 Pages
- ------------------------------------------------------------------------------------------------------------------------------------ | FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned | | (e.g., puts, calls, warrants, options, convertible securities) | - ------------------------------------------------------------------------------------------------------------------------------------ | 1. Title of | 2. Date Exercisable | 3. Title and Amount of Securities | 4. Conver- | 5. Owner- | 6. Nature | | Derivative | and Expiration Date | Underlying Derivative Security | sion or | ship | of | | Security | (Month/Day/Year) | (Instr. 4) | Exercise | Form of | Indirect | | (Instr. 4) -------------------------------------------------------------- Price of | Derivative | Bene- | | | Date | Expira- | | Amount | Derivative | Security: | ficial | | | Exer- | tion | | or | Security | Direct | Ownership | | | cisable | Date | Title | Number | | (D) or | (Instr. | | | | | | of | | Indirect | 5) | | | | | | Shares | | (I) | | | | | | | | | (Instr. 5) | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | Incentive Stock | (1) | 1/30/08 | Class A Common Stock | 30,000 | $10.00 | D | | | Options | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | Incentive Stock | (1) | 2/1/09 | Class A Common Stock | 8,334 | $6.00 | D | | | Options | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | Non-Qualified Stock | (1) | 2/1/09 | Class A Common Stock | 16,666 | $6.00 | D | | | Options | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | Incentive Stock | (1) | 2/1/10 | Class A Common Stock | 16,667 | $4.125 | D | | | Options | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | Non-Qualified Stock | (1) | 2/1/10 | Class A Common Stock | 8,333 | $4.125 | D | | | Options | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | Incentive Stock | (2) | 2/1/11 | Class A Common Stock | 15,278 | $4.50 | D | | | Options | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | Non-Qualified Stock | (1) | 2/1/11 | Class A Common Stock | 9,722 | $4.50 | D | | | Options | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: | | (1) Options have vested and are exercisable. | (2) 6,944 options have vested and are exercisable. 8,334 options will vest on February 1, 2004. | | | /s/ Brian H. Oswald March 6, 2003 ** 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). | Brian H. Oswald Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. | Page 2 of 2 Pages -2-
-----END PRIVACY-ENHANCED MESSAGE-----