4 1 p64914ce4.txt 4 1 --------------------------- OMB APPROVAL --------------------------- ------ OMB Number: 3235-0287 FORM 4 Expires: September 30, 1998 ------ Estimated average burden hours per response .... 0.5 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP / / Check this box if no longer subject to Filed pursuant to Section 16(a) of the Securities Section 16. Form 4 Exchange Act of 1934, Section 17(a) of the or Form 5 obligations Public Utility Holding Company Act of 1935 may continue. See or Section 30(f) of the Investment Company Instruction 1(b). Act of 1940 (Print or Type Responses) ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) Starwood Hotels & Resorts Worldwide, Inc./ to Issuer Cotter Robert F. Starwood Hotels & Resorts (Check all applicable) HOT Director 10% Owner --------------------------------------------------------------------------------------------- ---- --- (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for X Officer (give Other (Specify Starwood Hotels & Resorts Worldwide, Inc. Number of Reporting Month/Year ---- title --- below) 777 Westchester Avenue Person (Voluntary) March 2001 below) --------------------------------------------- ------------------- Chief Operating Officer (Street) ---------------------------- ---------------------------------------------------------- 5. If Amendment, 7. Individual or Joint/Group Filing Date of Original (Check Applicable Line) (Month/Year) X Form filed by One ---- Reporting Person Form filed by More than White Plains NY 10604 ---- One Reporting Person ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4, and 5) cially Owned at Form: direct (Instr. 8) End of Month Direct Benefi- (Month/ (Instr. 3 and 4) (D) or cial Day/ --------------------------------------- Indirect Owner- Year) Code V Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ Shares(1) 3/07/01 M 21,236 A $22.5510 D ------------------------------------------------------------------------------------------------------------------------------------ Shares(1) 3/07/01 S 21,236 D $34.0400 D ------------------------------------------------------------------------------------------------------------------------------------ Shares(1) 3/07/01 M 28,764 A $24.0000 D ------------------------------------------------------------------------------------------------------------------------------------ Shares(1) 3/07/01 S 28,764 D $34.0400 D ------------------------------------------------------------------------------------------------------------------------------------ Shares(1) 3/08/01 M 8,736 A $24.0000 D ------------------------------------------------------------------------------------------------------------------------------------ Shares(1) 3/08/01 S 8,736 D $34.4170 D ------------------------------------------------------------------------------------------------------------------------------------ Shares(1) 3/08/01 M 62,500 A $24.0000 D ------------------------------------------------------------------------------------------------------------------------------------ Shares(1) 3/08/01 S 62,500 D $34.4170 D ------------------------------------------------------------------------------------------------------------------------------------ Shares(1) 3/08/01 M 31,250 A $24.5000 D ------------------------------------------------------------------------------------------------------------------------------------ Shares(1) 3/08/01 S 31,250 D $34.4170 D ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form is filed by more than one reporting person, see Instruction 4(b)(v). SEC 1474 (7/96)
2 --------------------------- OMB APPROVAL --------------------------- ------ OMB Number: 3235-0287 FORM 4 Expires: September 30, 1998 ------ Estimated average burden hours per response .... 0.5 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP / / Check this box if no longer subject to Filed pursuant to Section 16(a) of the Securities Section 16. Form 4 Exchange Act of 1934, Section 17(a) of the or Form 5 obligations Public Utility Holding Company Act of 1935 may continue. See or Section 30(f) of the Investment Company Instruction 1(b). Act of 1940 (Print or Type Responses) ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person.* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) Cotter, Robert F. Starwood Hotels & Resorts Worldwide, Inc./ to Issuer (Check all applicable) Starwood Hotels & Resorts HOT --------------------------------------------------------------------------------------------- Director 10% Owner (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- --- Starwood Hotels & Resorts Worldwide, Inc. Number of Reporting Month/Year X Officer (give Other (Specify 777 Westchester Avenue Person (Voluntary) March 2001 ---- title --- below) --------------------------------------------- ------------------- below) (Street) Chief Operating Officer ---------------------------- ---------------------------------------------------------- 5. If Amendment, 7. Individual or Joint/Group Filing Date of Original (Check Applicable Line) (Month/Year) X Form filed by One ---- Reporting Person Form filed by More than White Plains NY 10604 ---- One Reporting Person ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature (Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In- Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct (Instr. 8) End of Month Direct Benefi- (Month/ (Instr. 3 and 4) (D) or cial Day/ --------------------------------------- Indirect Owner- Year) Code V Amount (A) or Price (I) ship (D) (Instr. 4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ Shares(1) 03/08/01 M 22,114 A $29,2650 D ------------------------------------------------------------------------------------------------------------------------------------ Shares(1) 03/08/01 S 22,114 D $34,4170 48,134 D ------------------------------------------------------------------------------------------------------------------------------------ Shares(1) 10,000 I By Trust(2) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form is filed by more than one reporting person, see Instruction 4(b)(v). SEC 1474 (7/96)
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FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Ac- Expiration Securities Deriv- Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative Deriv- Day/ Disposed of (D) (Month/Day/ Secur- ative Year) (Instr. 3, 4 Year) ity Security and 5) (Instr. 5) ----------------------------------- Date Expira- Amount or -------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase $22.5510 03/07/01 M 21,236 02/23/98 10/11/04 Shares 21,236 Shares (1) ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase $24.0000 03/07/01 M 28,764 02/23/04 02/23/10 Shares 28,764 Shares (1) ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase $24.0000 03/08/01 M 8,736 02/23/04 02/23/10 Shares 8,736 Shares (1) ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase $29.2650 03/08/01 M 22,114 02/23/98 05/09/05 Shares 22,114 Shares (1) ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase $24.0000 03/08/01 M 62,500 01/26/03 01/26/09 Shares 62,500 Shares (1) ------------------------------------------------------------------------------------------------------------------------------------ Option to Purchase $25.5000 03/08/01 M 31,250 02/10/04 02/10/10 Shares 31,250 Shares (1) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 9. Number of 10. Ownership 11. Nature of Security Derivative Form of Indirect (Instr. 3) Securities Derivative Beneficial Beneficially Security: Ownership Owned at End Direct (D) (Instr. 4) of Month or Indirect (I) (Instr. 4) (Instr. 4) ------------------------------------------------------------------------------------------------------- Option to Purchase 0 D Shares ------------------------------------------------------------------------------------------------------- Option to Purchase 121,236 D Shares ------------------------------------------------------------------------------------------------------- Option to Purchase 112,500 D Shares ------------------------------------------------------------------------------------------------------- Option to Purchase 0 D Shares ------------------------------------------------------------------------------------------------------- Option to Purchase 62,500 D Shares ------------------------------------------------------------------------------------------------------- Option to Purchase 93,750 D Shares ------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------- Explanation of Responses: **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ Kenneth S. Siegel 04/09/2001 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- ---------- **Signature of Reporting Person Date Kenneth S. Siegel, Attorney-in-Fact 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. SEC 1474 (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.
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---------------------------------------------------------------------------------------------------------------------------- Name and Address of Reporting Person Issuer Name and Ticker or Trading Symbol Statement for Month/Year ---------------------------------------------------------------------------------------------------------------------------- Cotter, Robert F. Starwood Hotels & Resorts Worldwide, Inc. March 2001 Starwood Hotels & Resorts Worldwide, Inc. Starwood Hotels & Resorts ("HOT") 777 Westchester Avenue White Plains, NY 10604 ----------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) Pursuant to the Agreement and Plan of Restructuring between Starwood Hotels & Resorts Worldwide, Inc. (the "Corporation"), ST Acquisition Trust, and Starwood Hotels & Resorts (the "Trust" and, together with the Corporation, "Starwood") dated as of September 16, 1998 and amended as of November 30, 1998, 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) Shares reported are held by The Robert F. Cotter Revocable Trust.