AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON DECEMBER 10, 1997
REGISTRATION NO. 333-
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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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FORM S-1
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
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CAPITAL TRUST
(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)
CALIFORNIA 6159,6162 94-6181186
(STATE OR OTHER JURISDICTION OF (PRIMARY STANDARD INDUSTRIAL (I.R.S. EMPLOYER
INCORPORATION OR ORGANIZATION) CLASSIFICATION CODE NUMBER) IDENTIFICATION NO.)
605 THIRD AVENUE, 26TH FLOOR
NEW YORK, N.Y. 10016
(212) 655-0220
(ADDRESS, INCLUDING ZIP CODE, AND TELEPHONE NUMBER, INCLUDING AREA CODE, OF
REGISTRANT'S PRINCIPAL EXECUTIVE OFFICES)
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JOHN R. KLOPP
VICE CHAIRMAN AND CHIEF EXECUTIVE OFFICER
CAPITAL TRUST
605 THIRD AVENUE, 26TH FLOOR
NEW YORK, N.Y. 10016
(212) 655-0220
(NAME, ADDRESS, INCLUDING ZIP CODE, AND TELEPHONE NUMBER, INCLUDING AREA CODE,
OF AGENT FOR SERVICE)
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COPIES TO
THOMAS E. KRUGER, ESQ. KEITH L. KEARNEY, ESQ.
BATTLE FOWLER LLP DAVIS POLK & WARDWELL
75 EAST 55TH STREET 450 LEXINGTON AVENUE
NEW YORK, NEW YORK 10022 NEW YORK, NEW YORK 10017
(212) 856-7000 (212) 450-4000
APPROXIMATE DATE OF COMMENCEMENT OF PROPOSED SALE OF THE SECURITIES TO THE
PUBLIC: As soon as practicable after the Registration Statement becomes
effective.
If any of the securities being registered on this Form are to be offered on
a delayed or continuous basis pursuant to Rule 415 under the Securities Act of
1933, check the following box. [_]
If this Form is filed to register additional securities for an offering
pursuant to Rule 462(b) under the Securities Act, please check the following
box and list the Securities Act registration statement number of the earlier
effective registration statement for the same offering. [X] Registration No.
333-37271
If this Form is a post-effective amendment filed pursuant to Rule 462(c)
under the Securities Act, check the following box and list the Securities Act
registration statement number of the earlier effective registration statement
for the same offering. [_]
If delivery of the prospectus is expected to be made pursuant to Rule 434,
please check the following box. [_]
CALCULATION OF REGISTRATION FEE
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PROPOSED PROPOSED
AMOUNT MAXIMUM MAXIMUM AMOUNT OF
TITLE OF SECURITIES TO BE OFFERING PRICE AGGREGATE REGISTRATION
TO BE REGISTERED REGISTERED(1) PER SHARE(2) OFFERING PRICE FEE
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Class A Common Shares of
Beneficial Interest
$1.00 par value........ 1,150,000 $11.00 $12,650,000 $3,731.75
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(1) Amount represents an increase in the offering size from 9,200,000 shares
to 10,350,000 shares of which 9,200,000 shares were previously registered.
Amount includes 150,000 (for an aggregate of 1,350,000) Class A Common
Shares issuable upon exercise of an over-allotment option granted by the
Registrant to the Underwriters.
(2) Calculated pursuant to Rule 457 promulgated under the Securities Act of
1933.
THE REGISTRANT HEREBY AMENDS THIS REGISTRATION STATEMENT ON SUCH DATE OR
DATES AS MAY BE NECESSARY TO DELAY ITS EFFECTIVE DATE UNTIL THE REGISTRANT
SHALL FILE A FURTHER AMENDMENT WHICH SPECIFICALLY STATES THAT THIS
REGISTRATION STATEMENT SHALL THEREAFTER BECOME EFFECTIVE IN ACCORDANCE WITH
SECTION 8(a) OF THE SECURITIES ACT OF 1933 OR UNTIL THE REGISTRATION STATEMENT
SHALL BECOME EFFECTIVE ON SUCH DATE AS THE SECURITIES AND EXCHANGE COMMISSION,
ACTING PURSUANT TO SAID SECTION 8(a), MAY DETERMINE.
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INCORPORATION OF CERTAIN INFORMATION BY REFERENCE
This Registration Statement on Form S-1 is filed by Capital Trust, a
California business trust (the "Company"), pursuant to Rule 462(b) under the
Securities Act of 1933, as amended (the "Act"). The information in the
Registration Statement on Form S-1, and its amendments thereto, previously
filed by the Company with the Securities and Exchange Commission (File No.
333-37271) pursuant to the Act is incorporated by reference into this
Registration Statement.
2
EXHIBITS.
EXHIBIT
NUMBER DESCRIPTION
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**5.1 Opinion of Greenberg Glusker Fields Claman & Machtinger LLP regarding
legality of securities being registered.
**23.1 Consent of Coopers & Lybrand L.L.P., San Francisco, California.
**23.2 Consent of David Berdon & Co. LLP, New York, New York.
**23.3 Consent of Greenberg Glusker Fields Claman & Machtinger LLP (included
in and incorporated by reference to Exhibit 5.1 hereto).
**23.4 Consent of Ernst & Young LLP.
**23.5 Consent of BDO Binder.
**23.6 Consent of Arthur Andersen LLP.
**23.7 Consent of Tackman, Pilla, Arnone and Company, P.C.
**23.8 Consent of Margolin, Winer & Evens LLP.
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**Filed herewith.
II-1
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the Registrant
has duly caused this Registration Statement on Form S-1 to be signed on its
behalf by the undersigned, thereunto duly authorized, in the City of New York,
State of New York on December 10, 1997.
CAPITAL TRUST
(Registrant)
/s/ Edward L. Shugrue III
By: _________________________________
Name: Edward L. Shugrue III
Title: Managing Director and
Chief Financial Officer
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed by the following persons in the
capacities and on the dates indicated.
SIGNATURE TITLE DATE
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* Chairman of the Board of December 10, 1997
____________________________________ Trustees
Samuel Zell
* Vice Chairman, Chief December 10, 1997
____________________________________ Executive Officer and
John R. Klopp Trustee (Principal
Executive Officer)
/s/ Edward L. Shugrue III Managing Director and Chief December 10, 1997
____________________________________ Financial Officer
Edward L. Shugrue III (Principal Financial and
Accounting Officer)
* Vice Chairman and Trustee December 10, 1997
____________________________________
Craig M. Hatkoff
/s/ Gary R. Garrabrant Trustee December 10, 1997
____________________________________
Gary R. Garrabrant
* Trustee December 10, 1997
____________________________________
Sheli Z. Rosenberg
* Trustee December 10, 1997
____________________________________
Lynne B. Sagalyn
* Trustee December 10, 1997
____________________________________
Martin L. Edelman
* Trustee December 10, 1997
____________________________________
Jeffrey A. Altman
/s/ Gary R. Garrabrant December 10, 1997
*By: __________________________
Gary R. Garrabrant
Attorney-in-fact
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EXHIBIT INDEX
EXHIBIT
NUMBER DESCRIPTION PAGE
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**5.1 Opinion of Greenberg Glusker Fields Claman & Machtinger LLP
regarding legality of securities being registered.
**23.1 Consent of Coopers & Lybrand L.L.P., San Francisco, California.
**23.2 Consent of David Berdon & Co. LLP, New York, New York.
**23.3 Consent of Greenberg Glusker Fields Claman & Machtinger LLP
(included in and incorporated by reference to Exhibit 5.1
hereto).
**23.4 Consent of Ernst & Young LLP.
**23.5 Consent of BDO Binder.
**23.6 Consent of Arthur Andersen LLP.
**23.7 Consent of Tackman, Pilla, Arnone and Company, P.C.
**23.8 Consent of Margolin, Winer & Evens LLP.
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**Filed herewith.
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