5 1 p66150de5.htm FORM 5 e5
 

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FORM 5
   
Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b)
Form 3 Holdings Reported
Form 4 Transactions Reported

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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
         
1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 7. Individual or Joint/Group Reporting
(Check applicable line)
Norton, David K. Starwood Hotels & Resorts Worldwide, Inc./ Starwood Hotels & Resorts HOT   X   Form filed by One Reporting Person


____ Form Filed by More Than One
Reporting Person
(Last)                     (First)                       (Middle)
  3. IRS or Social Security Number of Reporting Person (Voluntary)
 
Starwood Hotels & Resorts Worldwide, Inc.
1111 Westchester Avenue


(Street)  
4. Statement for Month/Year
 
White Plains                NY                      10604
December 2001


(City)                       (State)                     (Zip)  
USA 5. If Amendment, Date of Original (Month/Year)
 

 
6. Relationship of Reporting Person(s) to Issuer (Check all applicable)
___ Director
___ 10% Owner
  X  Officer (give title below)
___ Other (Specify below)
Executive Vice President, Human
Resources


TABLE I — NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED


                     
4. Securities Acquired (A)
or Disposed of (D)
(Instr. 3, 4 and 5)

2. Transaction 3. Transaction
1. Title of Security Date Code
(Instr. 3) (Month/Day/Year) (Instr. 8) Amount (A) or (D) Price






Shares (1) 2/7/01 A 12,142 A  
  3/1/01 A 3,537 A  

[Additional columns below]

[Continued from above table]
         
5. Amount of 6. Ownership
Securities Form: 7. Nature of
Beneficially Owned at Direct Indirect
End of Issuer's (D) or Beneficial
Fiscal Year Indirect (I) Ownership
(Instr. 3 and 4) (Instr. 4) (Instr. 4)



  D  
15,679 D  
     
     

*If the form is filed by more than one reporting person, see instruction 4(b)(v).

(over)         
SEC 2270(7-96)

 


 

FORM 5 (CONTINUED)

TABLE II — DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
                     
5. Number of
Derivative
Securities Acquired
(A) or
2. Conversion or Disposed of (D)
Exercise 3. Transaction Instr. 3, 4,
1. Title of Derivative Price of Date 4. Transaction and 5)
Security Derivative (Month/ Code
(Instr. 3) Security Day/Year) (Instr. 8) (A) (D)






Options to Purchase Shares $37.8400 2/7/01 A(2) 73,957  
  $28.7000 12/21/01 A(2) 15,000  
           
           

[Additional columns below]

[Continued from above table]
                 
6. Date Exercisable 7. Title and Amount
and Expiration of Underlying
Date Securities
(Month/Day/ (Instr. 3 and 4)
Year)
8. Price of

Amount or Derivative
Date Expiration Number of Security
Exercisable Date Title Shares (Instr. 5)





(3) 2/7/11 Shares 73,957  
12/21/02 12/21/11 Shares 15,000  
         
         

[Additional columns below]

[Continued from above table]
         
9. Number of
Derivative 10. Ownership
Securities of Derivative 11. Nature of
Beneficially Security: Indirect
Owned at End Direct (D) Beneficial
of Year or Indirect (I) Ownership
(Instr. 4)   (Instr. 4)   (Instr. 4)



    D
  213,957 D
     

Explanation of Responses:

(1) Each holder of shares of common stock (“Corporation Shares”) of Starwood Hotels & Resorts Worldwide, Inc. (“Starwood”) owns an equivalent number of Class B shares of beneficial interest (“Trust Shares”) of Starwood Hotels & Resorts, a real estate investment trust and subsidiary of Starwood. Corporation Shares and Trust Shares may be held and traded only in units consisting of one Corporation Share and one Trust Share (“Shares”).

(2) Option to Purchase Shares granted pursuant to Starwood’s Long-Term Compensation Plan.

(3) This option vests in four equal annual installments beginning on 2/7/02.

     
/s/ David K. Norton 2/13/02


**Signature of Reporting Person
David K. Norton
Date

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note. File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure.

      Potential person 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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SEC 2270(7-96)