-----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, PKPbbxvvEwY3VK7jg9YwqL3Ca0f+hipphHRX9ZPVgdhet69E2lPXikWEtdrcR3Gf D4iTFrdQ8mVvlBRg/iHmWQ== 0000950153-00-000495.txt : 20000411 0000950153-00-000495.hdr.sgml : 20000411 ACCESSION NUMBER: 0000950153-00-000495 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000211 FILED AS OF DATE: 20000410 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STARWOOD HOTEL & RESORTS WORLDWIDE INC CENTRAL INDEX KEY: 0000316206 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE [6500] IRS NUMBER: 521193298 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-07959 FILM NUMBER: 597614 BUSINESS ADDRESS: STREET 1: 777 WESTERCHESTER AVENUE STREET 2: SUITE 400 CITY: WHITE PLAINS STATE: NY ZIP: 10604 BUSINESS PHONE: 9146408100 MAIL ADDRESS: STREET 1: 2231 E CAMELBACK RD. 4TH FL STREET 2: SUITE 4O0 CITY: PHOENOX STATE: AZ ZIP: 85016 FORMER COMPANY: FORMER CONFORMED NAME: STARWOOD LODGING CORP DATE OF NAME CHANGE: 19950215 FORMER COMPANY: FORMER CONFORMED NAME: HOTEL INVESTORS CORP DATE OF NAME CHANGE: 19920703 COMPANY DATA: COMPANY CONFORMED NAME: COTTER ROBERT F CENTRAL INDEX KEY: 0001109064 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: C/O STARWOOD HOTELS & RESORTS WORLDWIDE STREET 2: 777 WESTCHESTER AVE CITY: WHITE PLAINS STATE: NY ZIP: 10604 BUSINESS PHONE: 9146408100 MAIL ADDRESS: STREET 1: C/O STARWOOD HOTELS & RESORTS WORLDWIDE STREET 2: 777 WESTCHESTER AVE CITY: WHITE PLAINS STATE: NY ZIP: 10604 3 1 3 1 --------------------------- OMB APPROVAL --------------------------- - -------- OMB Number: 3235-0104 FORM 3 Expires: September 30, 1998 - -------- Estimated average burden hours per response .... 0.5 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) - ----------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* 2. Date of Event Requiring 4. Issuer Name and Ticker or 6. If Amendment, Date Cotter, Robert F Statement Trading Symbol of Original - ---------------------------------------- (Month/Day/Year) Starwood Hotels & Resorts (Month/Day/Year) (Last) (First) (Middle) February 11, 2000 Worldwide, Inc./Starwood Hotels & Starwood Hotels & Resorts Worldwide, Inc. ------------------------- Resorts HOT 7. Individual or Joint/ 777 Westchester Avenue ----------------------------------- Group Filing (Check 5. Relationship of Reporting Applicable Line) - ---------------------------------------- 3. IRS or Social Security Person(s) to Issuer X Form Filed by One (Street) Number of Reporting (Check all applicable) Reporting Person Person (Voluntary) ----- Director ----- 10% Owner __Form Filed by More White Plains NY 10604 X Officer ----- Other (specify than One Reporting - -------------------------------------- ---------------------------- (give title below) below) Person (City) (State) (Zip) President and Chief Operating Officer --------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- TABLE 1 -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect (Instr. 4) Beneficially Owned Direct (D) or Beneficial (Instr. 4) Indirect (I) Ownership (Instr. 5) (Instr. 5) - ----------------------------------------------------------------------------------------------------------------------------------- Shares (1)(2) 41,450 D - ----------------------------------------------------------------------------------------------------------------------------------- Shares (1)(3) 6,684 D - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Page 1 of 3 Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) SEC 1473 (7/96) * If the form is filed by more than one reporting person, see Instruction 5(b)(v).
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FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Date 3. Title and Amount of 4. Conver- 5. Owner- 6. Nature of Indirect (Instr. 4) Exercisable and Securities Underlying sion or ship Beneficial Ownership Expiration Date Derivative Security Exercise Form of (Instr. 5) (Month/Day/ (Instr. 4) Price of Deriv- Year) Deri- ative vative Security: Security Direct ------------------------------------------------- (D) or Date Expira- Amount or Indirect (I) Exercis- tion Title Number (Instr. 5) able Date of Shares - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Shares (1) (4) (4) Shares (1) 22,114 $22.5510 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Shares (1) (4) (4) Shares (1) 24,175 $22.5900 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Shares (1) (4) (4) Shares (1) 22,114 $29.2650 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Shares (1) (4) (4) Shares (1) 20,830 $35.9730 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Shares (1) (4) (4) Shares (1) 30,066 $36.5360 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Shares (1) (4) (4) Shares (1) 38,575 $54.8450 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Shares (1)(5) 04/30/01 04/30/08 Shares (1) 125,000 $49.1875 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Shares (1)(5) 01/26/03 01/26/09 Shares (1) 125,000 $24.0000 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Shares (1)(6) 02/10/04 02/10/10 Shares (1) 125,000 $24.5000 D - ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase Shares (1)(7) 02/23/04 02/23/10 Shares (1) 150,000 $24.0000 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: 4/9/00 **Intentional misstatements or omissions of facts constitute Federal Criminal ------------------------------- ------------- Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Reporting Person Date /s/ Robert F. Cotter Note. File three copies of this Form, one of which must be manually signed. Page 2 If space is insufficient, See Instruction 6 for procedure. Page 2 of 3 SEC 1473 (7/96) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
3 EXPLANATION OF RESPONSES Reporting Person Cotter, Robert F. Issuer Name Starwood Hotels & Resorts Worldwide, Inc./ Starwood Hotels & Resorts Address Starwood Hotels & Resorts Worldwide, Inc. 777 Westchester Avenue White Plains, NY 10604 USA Identification Number (1) Pursuant to an agreement between Starwood Hotels & Resorts Worldwide, Inc., a Maryland corporation (the "Corporation") and Starwood Hotels & Resorts, a Maryland real estate investment trust (the "Trust" and, together with the Corporation, "Starwood"), each holder of shares of common stock, par value $.01 per share, of the Corporation (each, a "Corporation Share") owns an equivalent number of shares of Class B shares of beneficial interest, par value $.01 per share, of the Trust (each a "Trust Share"). Corporation Shares and Trust Shares may be held and traded only in units ("Shares") consisting of one Corporation Share and one Trust Share. (2) Restricted Shares reported were granted to the reporting person (the "Reporting Person") under the terms of Starwood's Long Term Incentive Plan (the LTIP) and vest 100% on the third anniversary of the grant date. (3) Restricted Shares reported were granted to the Reporting Person under the terms of the LTIP and vest 50% on the first anniversary of the grant date and 50% on second anniversary of the grant date. (4) As of February 23, 1998, the effective date of the merger of ITT Corporation with and into Starwood (the "ITT Merger"), each ITT stock option then outstanding was converted into a fully exercisable option to purchase Starwood Shares, in accordance with a formula set forth in the ITT Merger agreement. (5) Under the terms of the LTIP, certain officers may receive a grant of options to purchase Shares at the discretion of the Compensation and Option Committee of the Board of Directors. The grant of options reported was awarded to the Reporting Person as a bonus in lieu of cash. (6) The grant of options reported was awarded as a result of the Reporting Person entering into an employment agreement in connection with his appointment as Starwood's President of International Hotel Operations. (7) The grant of options reported was awarded as a result of the Reporting Person entering into an employment agreement in connection with his appointment as Starwood's Chief Operating Officer. -----END PRIVACY-ENHANCED MESSAGE-----