-----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, VmBbSUz0zqWh5xoSLIfeuptIZsqjuCFQkPtMhAuT0NVcvYv9UBdzvErgEGXXzU/6 fFGGoY+nQMQ5Rl/3Tn6BCg== 0000950134-01-503947.txt : 20010711 0000950134-01-503947.hdr.sgml : 20010711 ACCESSION NUMBER: 0000950134-01-503947 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010710 GROUP MEMBERS: CFH CAPITAL RESOURCES LP GROUP MEMBERS: CFH TRADE NAMES LP GROUP MEMBERS: CFHS LLC GROUP MEMBERS: CROW FAMILY INC GROUP MEMBERS: CROW FAMILY PARTNERSHIP LP GROUP MEMBERS: CROW HARLAN R GROUP MEMBERS: GP 98 LLC GROUP MEMBERS: HARLAN R CROW GROUP MEMBERS: MILL SPRING HOLDINGS INC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRAMMELL CROW CO CENTRAL INDEX KEY: 0001022438 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE OPERATORS (NO DEVELOPERS) & LESSORS [6510] IRS NUMBER: 752721454 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-52067 FILM NUMBER: 1678368 BUSINESS ADDRESS: STREET 1: 3500 TRAMMELL CROW CENTER 2001 ROSE AVEN CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2148633000 MAIL ADDRESS: STREET 1: 2001 ROSS AVENUE STREET 2: SUITE 3400 CITY: DALLAS STATE: TX ZIP: 75201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CROW HARLAN R CENTRAL INDEX KEY: 0001015893 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 2001 ROSS AVE STE 3200 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2148634000 MAIL ADDRESS: STREET 2: 2001 ROSS AVE STE 3200 CITY: DALLAS STATE: TX ZIP: 75201 SC 13D/A 1 d88951a4sc13da.txt AMENDMENT NO. 4 TO SCHEDULE 13D 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A AMENDMENT NO. 4 ---------- UNDER THE SECURITIES AND EXCHANGE ACT OF 1934 Trammell Crow Company --------------------- (Name of Issuer) Common Stock, $.01 par value ---------------------------- (Title of Class of Securities) 89288R 10 6 ----------- (CUSIP Number) M. Kevin Bryant Crow Family, Inc. 2100 McKinney Avenue, Suite 700 Dallas, Texas 75201 (214) 661-8000 -------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) July 6, 2001 ------------ (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g) check the following box: [ ] Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Section 240.13d-7(b) for other parties to whom copies are to be sent. *The remainder of this cover page shall be filed 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 disclosures provided in a prior cover page. The information required on 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). The Exhibit Index required by Rule 0-3(c) is located at page 14 of this filing. (Continued on the following page(s)) 2 CUSIP NO. 89288R 10 6 Page 2 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Crow Family Partnership, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (See Item 3) - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 4,236,829 EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 0 WITH --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 4,236,829 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,236,829 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.9% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 CUSIP NO. 89288R 10 6 Page 3 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CFH Capital Resources, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (See Item 3) - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 1,327,489 EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 0 WITH --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,327,489 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,327,489 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 4 CUSIP NO. 89288R 10 6 Page 4 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CFHS, L.L.C. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (See Item 3) - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 1,327,489 EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 0 WITH --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,327,489 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,327,489 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 5 CUSIP NO. 89288R 10 6 Page 5 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON CFH Trade Names, L.P. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (See Item 3) - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 386,137 EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 0 WITH --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 386,137 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 386,137 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.1% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 6 CUSIP NO. 89288R 10 6 Page 6 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GP 98, LLC - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (See Item 3) - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 386,137 EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 0 WITH --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 386,137 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 386,137 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.1% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 7 CUSIP NO. 89288R 10 6 Page 7 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Mill Spring Holdings, Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (See Item 3) - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 386,137 EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 0 WITH --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 386,137 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 386,137 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.1% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 8 CUSIP NO. 89288R 10 6 Page 8 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Crow Family, Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (See Item 3) - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 5,564,318 EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 0 WITH --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 5,564,318 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,564,318 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 15.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 9 CUSIP NO. 89288R 10 6 Page 5 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Harlan R. Crow - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (See Item 3) - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER(1) OWNED BY 5,963,789 EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 0 WITH --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER(1) 5,963,789 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,963,789 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 16.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- (1) Includes 13,234 shares subject to options exercisable within 60 days. *SEE INSTRUCTIONS BEFORE FILLING OUT! 10 This Amendment No. 4 (this "AMENDMENT") amends and supplements the Schedule 13D (the "ORIGINAL FILING" and, as amended and supplemented hereby, the "SCHEDULE 13D") originally filed with the Securities and Exchange Commission on December 11, 1997, by Crow Family Partnership, L.P., a Delaware limited partnership ("CFP"), CFH Trade Names, L.P., a Texas limited partnership ("CFH"), Crow Family, Inc., a Texas corporation ("CFI"), and Harlan R. Crow, an individual ("CROW"). Capitalized terms used but not defined in this Amendment have the meanings set forth in the Original Filing. Item 1. Security and Issuer. No change. Item 2. Identity and Background. (a)-(c), (f). This statement is filed by CFP, CFH, CFI, CFH Capital Resources, L.P., a Texas limited partnership ("CAPITAL"), CFHS, L.L.C., a Delaware limited liability company ("CFHS"), GP 98, LLC, a Texas limited liability company ("GP 98"), Mill Spring Holdings, Inc., a Texas corporation ("MILL SPRING"), and Crow, sometimes collectively referred to herein as the "REPORTING PERSONS." Each of CFH and Capital is a Texas limited partnership principally engaged in investments. CFP is a Delaware limited partnership principally engaged in investments. The principal place of business of each of CFP, CFH and Capital is located at 2100 McKinney Avenue, Suite 700, Dallas, Texas 75201. CFHS is a Delaware limited liability company principally engaged in investments. GP 98 is a Texas limited liability company principally engaged in investments. The principal place of business of CFHS and GP 98 is 2100 McKinney Avenue, Suite 700, Dallas, Texas 75201. CFI is the general partner of CFP and the Manager of CFHS. GP 98 is the general partner of CFH and Mill Spring is the manager and sole member of GP 98. Each of CFI and Mill Spring is a Texas corporation established as a holding company for various investments. Crow is a director and the Chief Executive Officer of CFI and Mill Spring and is a trustee of certain family trusts which hold significant equity interests in CFP, CFH, Capital, CFHS, CFI and Mill Spring. The principal place of business of CFI and Mill Spring is located at 2100 McKinney Avenue, Suite 700, Dallas, Texas 75201. Crow resigned as a director of the Company effective as of the Company's May 25, 2001, annual meeting. Crow is principally employed as an investor. His principal place of business is located at 2100 McKinney Avenue, Suite 700, Dallas, Texas 75201. Crow is a United States citizen. The name; business address; present principal occupation or employment; and the name, principal business and address of each corporation or other organization in which such occupation of employment is conducted for each executive officer or director, each controlling person, and each executive or director of such controlling person of CFP, CFH, Capital, CFHS, GP 98, Mill Spring and CFI are set forth on Schedule I hereto, which Schedule I is incorporated herein by reference. Page 10 11 (d)-(e). None of CFP, CFH, Capital, CFHS, GP 98, Mill Spring, CFI or Crow nor, to the best knowledge of CFP, CFH, Capital, CFHS, GP 98, Mill Spring, CFI and Crow, any of the persons listed on Schedule I attached hereto, has during the past five years, (i) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), or (ii) been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction that resulted in a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Item 3. Source and Amount of Funds or Other Consideration. On December 1, 1997, a wholly owned subsidiary of the Company was merged (the "MERGER") with and into Trammell Crow Company, a Texas corporation (the "PREDECESSOR COMPANY"), pursuant to an Agreement and Plan of Merger dated as of August 22, 1997, as amended by the First Amendment thereto dated November 22, 1997 (as so amended, the "MERGER AGREEMENT"). Pursuant to the Merger Agreement, on December 1, 1997, CFP's shares of capital stock of the Predecessor Company were converted into an aggregate of 5,564,318 shares of Common Stock. Also pursuant to the Merger Agreement, on such date CFH executed a License Agreement with the Company pursuant to which, subject to certain quality standards, the Company was granted certain rights to use the name "Trammell Crow," and in consideration therefor CFH received 2,295,217 shares of Common Stock. Copies of the Agreement and Plan of Merger dated as of August 22, 1997, the First Amendment thereto dated November 22, 1997 and the License Agreement are filed herewith as Exhibits 4.1, 4.2 and 10.1, respectively and are incorporated herein by reference. The 7,859,535 shares of Common Stock initially received collectively by CFP and CFH together with any additional shares of Common Stock acquired by any other Filing Parties are referred to herein as the "SHARES." On or about February 27, 1998, CFP contributed 717,489 Shares to Capital in exchange for interests in Capital. On July 1, 1998, CFP acquired 40,000 shares of Common Stock from Anthony W. Dona for an aggregate purchase price of $1,357,500. The purchase price for those shares is subject to adjustment if CFP sells or transfers shares of Common Stock during the six-month period beginning July 1, 1998 and ending on January 1, 1999. On September 9, 1998, CFP contributed on additional 610,000 shares of Common Stock to Capital in exchange for an increased interest in Capital. Item 4. Item Purpose of Transaction. Each of CFP and CFH acquired the Shares it holds pursuant to the terms of the Merger Agreement and is holding them for investment purposes. Capital is holding the Shares it holds for investment purposes. Any of the Reporting Persons may purchase additional shares of Common Stock either in the open market or in private transactions, depending on his or its evaluation of the Company's business, prospects and financial condition, the market for the Common Stock, economic conditions, money and stock market conditions and other future developments. Item 5. Item Interest in Securities of the Issuer. (a) The aggregate number and percentage of the shares of Common Stock beneficially owned (identifying those shares of Common Stock for which there is a right to acquire) by each of the Reporting Persons, and for all of the Reporting Persons collectively, is set forth on Schedule II attached hereto and incorporated herein in full by reference thereto. Page 11 12 (b) Schedule II attached hereto shows the number of shares of Common Stock as to which there is sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole power to dispose or to direct the disposition and shared power to dispose or to direct the disposition, for each of the Reporting Persons. The applicable information required by Item 2 for each person with whom the power to vote or to direct the vote or to dispose or to direct the disposition is set forth in Item 2 above. (c) See the discussion in Item 3 above with respect to the acquisition of shares of Common Stock by CFP, CFH and Capital. In March 1999, CFP sold 40,000 shares of Common Stock at a price of $15.25 per share as part of a public secondary offering. In March 1999, CFH sold 1,400,080 shares of Common Stock at a price of $15.25 per share as part of a public secondary offering. In furtherance of CFH's business plan to achieve and maintain appropriate diversity of asset allocations, CFH sold 151,600 shares of Common Stock at an average price of $12.79 in a series of transactions on the open market from November 13, 2000 to December 6, 2000. To further achieve and maintain appropriate diversity of asset allocations, CFH sold 317,400 shares of Common Stock at an average price of $10.59 in a series of transactions on the open market from June 5, 2001 to July 6, 2001. (d) Not applicable. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relations with Respect to Securities of the Issuer. Contemporaneously with the Merger, the Company, CFP, CFH and J. McDonald Williams, then Chairman of the Board of the Company ("WILLIAMS"), entered into a Stockholders' Agreement, pursuant to which the Company agreed, subject to certain limitations and under certain circumstances, to register for sale shares of Common Stock that are held by the parties thereto (collectively, the "REGISTRABLE SECURITIES"). The Stockholders' Agreement provides that CFP and CFH (collectively, "CROW FAMILY") and Williams may, from and after the first anniversary of the Company's initial public offering, require the Company upon written notice to register for sale such Registrable Securities (a "DEMAND REGISTRATION"), provided that the Company has no obligation to effect more than six underwritten Demand Registrations and shall only be obligated to effect the sixth underwritten Demand Registration if all remaining Registrable Securities of Crow Family are to be registered and the total amount of Registrable Securities to be included in any underwritten Demand Registration has a market value of at least $25 million. The Company has no obligation to (i) effect an underwritten Demand Registration within nine months (or file such Registration Statement within seven months) after the effective date of the immediately preceding Demand Registration or (ii) effect a shelf Demand Registration within 12 months (or file such Registration Statement within ten months) after such effective date. In addition, the Company is only required to register a number of shares of Common Stock for sale pursuant to a shelf Demand Registration that is less than or equal to five Page 12 13 times the amount limitation prescribed by Rule 144. The holders of Registrable Securities may request an unlimited number of shelf Demand Registrations. The Stockholders' Agreement also provides that, subject to certain exceptions, in the event the Company proposes to file a registration statement with respect to an offering of any class of equity securities, other than certain types of Registrations, the Company will offer the holders of Registrable Securities the opportunity to register the number of Registrable Securities they request to include (a "PIGGYBACK REGISTRATION"), provided that the amount of Registrable Securities requested to be registered may be limited by the underwriters in an underwritten offering based on such underwriters' determination that inclusion of the total amount of Registrable Securities requested for registration exceeds the maximum amount that can be marketed at a price reasonably related to the current market price of the Common Stock or without materially and adversely affect the offering. The Company will generally be required to pay all of the expenses of Demand Registrations and Piggyback Registrations, other than underwriting discounts and commissions; provided, however, that only 50% of the expenses of underwritten Demand Registrations will be borne by the Company after the first three such Demand Registrations and all road show expenses in connection with any Demand Registration will be borne by the holders of the Registrable Securities. Under the terms of the Stockholders' Agreement, the Company granted Crow Family the right to nominate a member of the Board of Directors. Crow is Crow Family's initial nominee. Each executive officer of the Company has agreed to vote his shares of Common Stock in favor of the nominee of Crow Family. Crow Family's right to nominate a director will terminate on the first date Crow Family's beneficial ownership of Common Stock represents the lesser of (i) less than 12.5% of the then outstanding Common Stock or (ii) less than 50% of the shares of Common Stock owned on the date of execution of the Agreement; provided, however, that in no event will the Company be obligated to nominate a Crow Family designee beyond the first date on which the beneficial ownership of shares of Common Stock held by Crow Family represents less than 5% of all then outstanding shares of such class. In connection with any private sale of Common Stock by Crow Family, other than to an affiliate, Crow Family will agree to give the Company 15 days notice prior to effecting such sale. Each of Crow Family and the Company has agreed, prior to the fifth anniversary of the Stockholders' Agreement, not to solicit the other's officer-level employees concerning potential employment without prior notice to the other party. In addition, each of Crow Family and the Company has agreed not to hire any employee that was improperly solicited until the earlier of (i) the involuntary termination of such officer-level employee by his/her employer and (ii) the first anniversary of the last incident of solicitation of such employee in violation of the Agreement. A copy of the Stockholders' Agreement was previously filed as Exhibit 10.10 of the Company's registration statement on Form S-1, file number 333-34859, and is incorporated herein by reference. On July 1, 1998, CFP and Anthony W. Dona entered into a Stock Purchase Agreement (the "STOCK PURCHASE AGREEMENT") pursuant to which CFP acquired 40,000 shares of Common Stock from Mr. Dona for an aggregate purchase price of $1,357,500. The purchase price for these shares Page 13 14 of Common Stock is subject to adjustment if CFP engages in any sale or transfer of Common Stock prior to January 1, 1999. A copy of the Stock Purchase Agreement is filed herewith as Exhibit 10.3, and is incorporated herein by reference. Attached hereto as Exhibit 99.1 and incorporated herein by reference is a copy of the Amended and Restated Agreement Among Filing Parties dated as of May 4, 1998. Item 7. Material to be Filed as Exhibits. Exhibit 4.1 - Agreement and Plan of Merger dated August 22, 1997 incorporated by reference to the Company's registration statement on Form S-1, Registration No. 333-34859 (Exhibit 2.1). Exhibit 4.2 - First Amendment to Agreement and Plan of Merger dated as of November 22, 1997, incorporated by reference to the Company's registration statement on Form S-1, Registration No. 333-34859 (Exhibit 2.2). Exhibit 10.1 - Form of License Agreement between the Company and CFH, incorporated by reference to the Company's registration statement on Form S-1, Registration No. 333-34859 (Exhibit 10.2). Exhibit 10.2 - Stockholders' Agreement among the Company, CFP, CFH and certain other signatories thereto, incorporated by reference to the Company's registration statement on Form S-1, Registration No. 333-34859 (Exhibit 10.10). Exhibit 10.3 - Stock Purchase Agreement dated July 1, 1998 between CFP and Anthony W. Dona, previously filed as an exhibit to Schedule 13D filed by the Reporting Persons on October 20, 1998, Registration No. 005-52067. Exhibit 99.1 - Amended and Restated Agreement Among Filing Parties, previously filed as an exhibit to Schedule 13D filed by the Reporting Persons on October 22, 1998, Registration No. 005-52067. Page 14 15 SCHEDULE I CERTAIN INFORMATION REGARDING DIRECTORS, EXECUTIVE OFFICERS AND CONTROLLING PERSONS OF CROW FAMILY PARTNERSHIP, L.P., CFH TRADE NAMES, L.P. AND CROW FAMILY, INC. 1. CROW FAMILY PARTNERSHIP, L.P.
Name and Position Business Address Present Occupation ----------------- ---------------- ------------------ Crow Family, Inc. 2100 McKinney Avenue General Partner Suite 700 Dallas, Texas 75201
2. CFH TRADE NAMES, L.P.
Name and Position Business Address Present Occupation ----------------- ---------------- ------------------ GP 98, L.L.C. 2100 McKinney Avenue General Partner Suite 700 Dallas, Texas 75201
3. CFH Capital Resources, L.P.
Name and Position Business Address Present Occupation ----------------- ---------------- ------------------ CFHS, L.L.C. 2100 McKinney Avenue General Partner Suite 700 Dallas, Texas 75201
4. CFHS, L.L.C.
Name and Position Business Address Present Occupation ----------------- ---------------- ------------------ Crow Family, Inc. 2100 McKinney Avenue Manager Suite 700 Dallas, Texas 75201
5. GP 98, LLC
Name and Position Business Address Present Occupation ----------------- ---------------- ------------------ Mill Spring Holdings, Inc. 2100 McKinney Avenue Manager and Sole Member Suite 700 Dallas, Texas 75201
16 6. CROW FAMILY, INC.
Name and Position Business Address Present Occupation ----------------- ---------------- ------------------ James D. Carreker 6801 Baltimore Dr. Investments Director Dallas, Texas 75205 Harlan R. Crow 2100 McKinney Avenue Director and Chief Executive Officer Suite 700 Dallas, Texas 75201 Trammell Crow 2100 McKinney Avenue Director Suite 700 Dallas, Texas 75201 Anthony W. Dona 2100 McKinney Avenue Director and Executive Vice President Suite 700 Dallas, Texas 75201 Joel Ehrenkranz 375 Park Avenue, Suite 2800 Investments Director New York, New York 10152 Susan T. Groenteman 2100 McKinney Avenue Director and Executive Vice President Suite 700 Dallas, Texas 75201 Thomas O. Hicks 200 Crescent Court Investments Director Suite 1600 Dallas, Texas 75201 Ronald J. Terwilliger 2859 Paces Ferry Road National Managing Partner, Trammell Director Suite 1400 Crow Residential Company Atlanta, Georgia 30339 Charles R. Brindell, Jr. 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Ronald S. Brown 2100 McKinney Avenue Vice President and Treasurer Suite 700 Dallas, Texas 75201 M. Kevin Bryant 2100 McKinney Avenue Vice President and Secretary Suite 700 Dallas, Texas 75201 Thomas Burleson 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Jeffrey C. Chavez 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Mary M. Hager 2100 McKinney Avenue Vice President and Assistant Suite 700 Secretary Dallas, Texas 75201
17
Name and Position Business Address Present Occupation ----------------- ---------------- ------------------ Henry Barry 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Carol Kreditor 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Robert A. McClain 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Sarah Puckett 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Anne L. Raymond 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Dan Feeney 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Gina Norris 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Michael R. Silverman 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Jackie Close 2100 McKinney Avenue Assistant Secretary Suite 700 Dallas, Texas 75201 Melissa Huber 2100 McKinney Avenue Assistant Secretary Suite 700 Dallas, Texas 75201
7. MILL SPRING HOLDINGS, INC.
Name and Position Business Address Present Occupation ----------------- ---------------- ------------------ James D. Carreker 6801 Baltimore Drive Investments Director Dallas, Texas 75205 Harlan R. Crow 2100 McKinney Avenue Director and Chief Executive Officer Suite 700 Dallas, Texas 75201 Trammell Crow 2100 McKinney Avenue Director Suite 700 Dallas, Texas 75201 Anthony W. Dona 2100 McKinney Avenue Director and Executive Vice President Suite 700 Dallas, Texas 75201 Joel Ehrenkranz 375 Park Avenue, Suite 2800 Investments Director New York, New York 10152
18
Name and Position Business Address Present Occupation ----------------- ---------------- ------------------ Susan T. Groenteman 2100 McKinney Avenue Director and Executive Vice President Suite 700 Dallas, Texas 75201 Thomas O. Hicks 200 Crescent Court Investments Director Suite 1600 Dallas, Texas 75201 Ronald J. Terwilliger 2859 Paces Ferry Road National Managing Partner, Trammell Director Suite 1400 Crow Residential Company Atlanta, Georgia 30339 Charles R. Brindell, Jr. 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Ronald S. Brown 2100 McKinney Avenue Vice President and Treasurer Suite 700 Dallas, Texas 75201 M. Kevin Bryant 2100 McKinney Avenue Vice President and Secretary Suite 700 Dallas, Texas 75201 Thomas H. Burleson 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Jeffrey C. Chavez 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Mary M. Hager 2100 McKinney Avenue Vice President and Assistant Secretary Suite 700 Dallas, Texas 75201 Henry Barry 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Carol Kreditor 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Robert A. McClain 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Sarah Puckett 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Anne L. Raymond 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Dan Feeney 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Gina Norris 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201
19
Name and Position Business Address Present Occupation ----------------- ---------------- ------------------ Michael R. Silverman 2100 McKinney Avenue Vice President Suite 700 Dallas, Texas 75201 Jackie Close 2100 McKinney Avenue Assistant Secretary Suite 700 Dallas, Texas 75201 Melissa Huber 2100 McKinney Avenue Assistant Secretary Suite 700 Dallas, Texas 75201
20 SCHEDULE II REPORTING PERSONS
Aggregate Amount Percent of Sole Shared Sole Shared of Shares Class Voting Voting Dispositive Dispositive Beneficially Beneficially Power Power Power Power Owned Owned ------ ---------- ----------- ----------- ------------ ------------ Crow Family Partnership, L.P. ......................... -0- 4,236,829 -0- 4,236,829 4,236,829 11.9% CFH Trade Names, L.P. ............ -0- 386,137 -0- 386,137 386,137 1.1% GP 98, LLC (1) ................... -0- 386,137 -0- 386,137 386,137 1.1% Mill Spring Holdings, Inc. (1) ... -0- 386,137 -0- 386,137 386,137 1.1% CFH Capital Resources, L.P. ...... -0- 1,327,489 -0- 1,327,489 1,327,489 3.7% CFHS, L.L.C. (2) ................. -0- 1,327,489 -0- 1,327,489 1,327,489 3.7% Crow Family, Inc. (3) ............ -0- 5,564,318 -0- 5,564,318 5,564,318 15.6% Harlan R. Crow (4) ............... -0- 5,963,789 -0- 5.963,789 5,963,789 16.7%
(1) Includes 386,137 shares held of record by CFH Trade Names, L.P. GP 98, LLC is the general partner of CFH Trade Names, L.P. and Mill Spring Holdings, Inc. is the manager and sole member of GP 98, LLC. (2) Includes 1,327,489 shares held of record by CFH Capital Resources, L.P., a Texas limited partnership. CFHS, L.L.C. is the general partner of CFH Capital Resources, L.P., and Crow Family, Inc., is the manager of CFHS, L.L.C. (3) Includes 4,236,829 shares held of record by Crow Family Partnership, L.P. Crow Family, Inc. is the general partner of Crow Family Partnership, L.P. Also includes 1,327,489 shares held of record by CFH Capital Resources, L.P. beneficial ownership of which may be attributed to Crow Family, Inc. as the manager of CFHS, L.L.C., which is the general partner of such limited partnership. Includes 100 shares held of record by Mr. Crow (4) Includes 13,234 shares subject to options exercisable within 60 days. Includes 4,236,829 shares held of record by Crow Family Partnership, L.P., 386,137 shares held of record by CFH Trade Names, L.P. and 1,327,489 shares held of record by CFH Capital Resources, L.P., which shares could be attributed to Harlan R. Crow as a director and the Chief Executive Officer of Crow Family, Inc., and Mill Spring Holdings, Inc., and a trustee of certain family trusts which hold significant equity interests in such partnerships and corporation. Mr. Crow disclaims beneficial ownership of all such shares. Includes 100 shares held of record by Mr. Crow. The Reporting Persons expressly disclaim the existence of any "group" (within the meaning of Section 13(d)(3) under the Securities Exchange Act of 1934). 21 SIGNATURES 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. DATED: July 10, 2001 CROW FAMILY PARTNERSHIP, L.P., a Delaware limited partnership By: CROW FAMILY, INC., a Texas corporation and its General Partner By: /s/ ANTHONY W. DONA --------------------------------------- Anthony W. Dona Executive Vice President DATED: July 10, 2001 CFH TRADE NAMES, L.P., a Texas limited partnership By: GP 98, LLC, a Texas limited liability company and its General Partner By: MILL SPRING HOLDINGS, INC., a Texas corporation and its manager By: /s/ ANTHONY W. DONA -------------------------------- Anthony W. Dona Executive Vice President DATED: July 10, 2001 GP 98, LLC, a Texas limited liability company By: MILL SPRING HOLDINGS, INC., a Texas corporation and its manager By: /s/ ANTHONY W. DONA ------------------------------------ Anthony W. Dona Executive Vice President DATED: July 10, 2001 MILL SPRING HOLDINGS, INC., a Texas corporation By: /s/ ANTHONY W. DONA ---------------------------------------- Anthony W. Dona Executive Vice President 22 DATED: July 10, 2001 CFH CAPITAL RESOURCES, L.P., a Texas limited partnership By: CFHS, L.L.C., a Delaware limited liability company and its General Partner By: CROW FAMILY, INC., a Texas corporation, its sole manager By: /s/ ANTHONY W. DONA --------------------------------- Anthony W. Dona Executive Vice President DATED: July 10, 2001 CFHS, L.L.C., a Delaware limited liability company By: CROW FAMILY, INC., a Texas corporation, its sole manager By: /s/ ANTHONY W. DONA ------------------------------------- Anthony W. Dona Executive Vice President DATED: July 10, 2001 CROW FAMILY, INC., a Texas corporation By: /s/ ANTHONY W. DONA ----------------------------------------- Anthony W. Dona Executive Vice President DATED: July 10, 2001 /s/ HARLAN R. CROW -------------------------------------------- Harlan R. Crow 23 INDEX TO EXHIBIT
EXHIBIT NUMBER DESCRIPTION - ------- ----------- 4.1 Agreement and Plan of Merger dated August 22, 1997, incorporated by reference to the Company's registration statement on Form S-1, Registration No. 333-34859 (Exhibit 2.1) 4.2 First Amendment to Agreement and Plan of Merger dated as of November 22, 1997, incorporated by reference to the Company's registration statement on Form S-1, Registration No. 333-34859 (Exhibit 2.2) 10.1 License Agreement between the Company and CFH, incorporated by reference to the Company's registration statement on Form S-1, Registration No. 333-34859 (Exhibit 10.2) 10.2 Stockholders' Agreement among the Company, CFP, CFH and certain other signatories thereto, incorporated by reference to the Company's registration statement on Form S-1, Registration No. 333-34859 (Exhibit 10.10) 10.3 Stock Purchase Agreement among CFP and Anthony W. Dona dated July 1, 1998, previously filed as an exhibit to Schedule 13D filed by the Reporting Persons on October 20, 1998, Registration No. 005-52067. 99.1 Amended and Restated Agreement Among Filing Parties, previously filed as an exhibit to Schedule 13D filed by the Reporting Persons on October 22, 1998, Registration No. 005-52067.
-----END PRIVACY-ENHANCED MESSAGE-----