-----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, LT4GEiAihL4PpQfMLLT98TTXhpXecTSicPP4IbLhvSm5YThXPxx1XLF1Y1WUAoJH 827cS8jLqnJvhOlmoHOh6Q== 0000950131-99-003635.txt : 19990615 0000950131-99-003635.hdr.sgml : 19990615 ACCESSION NUMBER: 0000950131-99-003635 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990608 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL TRUST CENTRAL INDEX KEY: 0000016387 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 946181186 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-39821 FILM NUMBER: 99641899 BUSINESS ADDRESS: STREET 1: 605 THIRD AVENUE 26TH FLOOR STREET 2: STE 200 CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 2126550220 MAIL ADDRESS: STREET 1: 605 THIRD AVENUE 26TH FLOOR STREET 2: #200 CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: CALIFORNIA REAL ESTATE INVESTMENT TRUST DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WANGER ASSET MANAGEMENT LP CENTRAL INDEX KEY: 0000908733 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 363820584 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 227 W MONROE STREET STREET 2: SUITE 3000 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3126349230 MAIL ADDRESS: STREET 1: 227 W MONROE ST STREET 2: STE 3000 CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: WANGER ASSET MANAGEMENT LP DATE OF NAME CHANGE: 19960619 SC 13G/A 1 SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* CAPITAL TRUST - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 140920109 -------------------- (CUSIP Number) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 9 pages - ------------------------ ------------------------ CUSIP No. 140920109 13G Page 2 of 9 Pages - ------------------------ ------------------------ - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Wanger Asset Management, L.P. 36-3820584 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] Not Applicable (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 None OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 None - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 None - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 Not Applicable [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0.00% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IA - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! - ------------------------ ------------------------ CUSIP No. 140920109 13G Page 3 of 9 Pages - ------------------------ ------------------------ - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Wanger Asset Management, Ltd. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] Not Applicable (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 None OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 None - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 None - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 Not Applicable [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0.00% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 CO - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! - ------------------------ ------------------------ CUSIP No. 140920109 13G Page 4 of 9 Pages - ------------------------ ------------------------ - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Acorn Investment Trust - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] Not Applicable (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Massachusetts - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF None SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING None PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 None - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 Not Applicable [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0.00% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IV - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! Item 1(a) Name of Issuer: Capital Trust Item 1(b) Address of Issuer's Principal Executive Offices: 605 Third Avenue, 26th Floor New York, NY 10016 Item 2(a) Name of Person Filing: Wanger Asset Management, L.P. ("WAM") Wanger Asset Management Ltd., the general partner of WAM ("WAM LTD.") Acorn Investment Trust ("Acorn") Item 2(b) Address of Principal Business Office: WAM, WAM LTD. and Acorn are all located at: 227 West Monroe Street, Suite 3000 Chicago, Illinois 60606 Item 2(c) Citizenship: WAM is a Delaware limited partnership. WAM LTD. is a Delaware corporation. Acorn is a Massachusetts business trust. Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 140920109 Item 3 Type of Person: (d) Acorn is an Investment Company registered under section 8 of the Investment Company Act of 1940. (e) WAM is an Investment Adviser registered under section 203 of the Investment Advisers Act of 1940; WAM LTD. is the General Partner of the Investment Adviser. Pages 5 of 9 pages Item 4 Ownership (at May 31, 1999): (a) Amount owned "beneficially" within the meaning of rule 13d-3: no shares (b) Percent of class: 0.00% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: none (ii) shared power to vote or to direct the vote: none (iii) sole power to dispose or to direct the disposition of: none (iv) shared power to dispose or to direct disposition of: none Item 5 Ownership of Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of equity securities, check the following (x). Note: The original statement of beneficial ownership on Schedule 13G dated February 8, 1999 and Amendment No. 1 thereto dated February 26, 1999 were inadvertently filed by the reporting persons as relating to the Issuer's securities. The reporting persons did not then and do not as of the date hereof own beneficially 5% or more of the Issuer's securities. Rather, the reporting persons were and are beneficial owners of the securities of Capital Trust, Inc., an entity related to the Issuer. The reporting persons are making this exit filing to reflect the fact that they do not own 5% or more of the Issuer's securities and are filing a separate statement on Schedule 13G to report their beneficial ownership, as of the date hereof, of shares of Capital Trust, Inc. Page 6 of 9 pages Item 6 Ownership of More than Five Percent on Behalf of Another Person: The shares reported herein have been acquired on behalf of discretionary clients of WAM, including Acorn. Persons other than WAM and WAM LTD. are entitled to receive all dividends from, and proceeds from the sale of, those shares. Acorn is the only such person known to be entitled to receive all dividends from, and all proceeds from the sale of, shares reported herein to the extent more than 5% of the class. Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: Not Applicable Item 8 Identification and Classification of Members of the Group: Not Applicable Item 9 Notice of Dissolution of Group: Not Applicable Page 7 of 9 pages Item 10 Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Page 8 of 9 pages Signature --------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: June 8, 1999 The undersigned corporation, on the date above written, agrees and consents to the joint filing on its behalf of this Schedule 13G in connection with its beneficial ownership of the security reported herein. WANGER ASSET MANAGEMENT, LTD. for itself and as general partner of WANGER ASSET MANAGEMENT, L.P. By: /s/ Bruce H. Lauer -------------------- Bruce H. Lauer Vice President The undersigned, on the date above written, agrees and consents to the joint filing on its behalf of this Schedule 13G in connection with its beneficial ownership of the security reported herein. ACORN INVESTMENT TRUST By: /s/ Bruce H. Lauer -------------------- Bruce H. Lauer Vice President and Treasurer Page 9 of 9 pages -----END PRIVACY-ENHANCED MESSAGE-----