-----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, JciCQEPA46XC2sxLSNj8J3fuJ0KhgVCUYrVB7XjmOun4rmOHQkGajfJP1Omr5z/1 qohAlQOOa/Iyc+/b/eym0w== 0000893220-01-000185.txt : 20010223 0000893220-01-000185.hdr.sgml : 20010223 ACCESSION NUMBER: 0000893220-01-000185 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001231 FILED AS OF DATE: 20010214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAREY W P & CO LLC CENTRAL INDEX KEY: 0001025378 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE [6500] IRS NUMBER: 133912578 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 001-13779 FILM NUMBER: 1546040 BUSINESS ADDRESS: STREET 1: 50 ROCKEFELLER PLAZA STREET 2: 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2124921100 MAIL ADDRESS: STREET 1: 50 ROCKEFELLER PLAZA STREET 2: 50 ROCKEFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: CAREY DIVERSIFIED LLC DATE OF NAME CHANGE: 19971017 FORMER COMPANY: FORMER CONFORMED NAME: CAREY DIVERSIFIED PROPERTIES LLC DATE OF NAME CHANGE: 19961017 COMPANY DATA: COMPANY CONFORMED NAME: CAREY FRANCIS CENTRAL INDEX KEY: 0001054814 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 50 ROCKEFELLER PLZ STREET 2: 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 MAIL ADDRESS: STREET 1: 50 ROCKEFELLER PLZ STREET 2: 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 5 1 w45557pe5.txt FORM 5 FOR FRANCIS CAREY 1 --------------------------- OMB APPROVAL --------------------------- - ------ OMB Number: 3235-0362 FORM 5 Expires: October 31, 2001 - ------ Estimated average burden hours per response .... 1.0 --------------------------- / / Check box if no U.S. SECURITIES AND EXCHANGE COMMISSION longer subject to WASHINGTON, DC 20549 Section 16. Form 4 or Form 5 ANNUAL STATEMENT OF CHANGES BENEFICIAL OWNERSHIP obligations may continue. See Filed pursuant to Section 16(a) of the Securities Instruction 1(b) Exchange Act of 1934, / / Form 3 Holdings Section 17(a) of the Public Utility Reported Holding Company Act of 1935 or Section 30(f) of /X/ Form 4 the Investment Company Act Transactions of 1940 Reported - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Carey, Francis J. W.P. Carey & Co. LLC ("WPC") Issuer (Check all applicable) - ------------------------------------------------------------------------------------------- X Director 10% Owner (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- --- Number of Reporting Month/Year X Officer (give Other (Specify 485 Lewis Lane Person, if an entity 12/2000 ---- title --- below) - ------------------------------------------- (Voluntary) ------------------- below) (Street) ###-##-#### Vice Chairman ---------------------------- ---------------------------------------------------------- 5. If Amendment, 7. Individual or Joint/Group Filing Date of Original Reporting (Check applicable box) (Month/Year) X Form filed by One ---- Reporting Person Form filed by More than Ambler PA 19002 ---- 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) the end of Direct Benefi- (Month/ Issuer's Fiscal (D) or cial Day/ ---------------------------- Year Indirect Owner- Year) Amount (A) or Price (Instr. 3 and 4) (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock* 10/16/00 P 671 A 17.28 70,613 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock* 10/16/00 P 1,019 A 17.28 70,613 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock* 10/16/00 P 42 A 17.28 70,613 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/20/00 G 200 D -- 70,613 -- -- - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/20/00 G 200 D -- 70,613 -- -- - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/20/00 G 200 D -- 70,613 -- -- - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/20/00 G 200 D -- 70,613 -- -- - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/20/00 G 200 D -- 70,613 -- -- - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
2 --------------------------- OMB APPROVAL --------------------------- - ------ OMB Number: 3235-0362 FORM 5 Expires: October 31, 2001 - ------ Estimated average burden hours per response .... 1.0 --------------------------- / / Check box if no U.S. SECURITIES AND EXCHANGE COMMISSION longer subject to WASHINGTON, DC 20549 Section 16. Form 4 or Form 5 ANNUAL STATEMENT OF CHANGES BENEFICIAL OWNERSHIP obligations may continue. See Filed pursuant to Section 16(a) of the Securities Instruction 1(b). Exchange Act of 1934, / / Form 3 Holdings Section 17(a) of the Public Utility Reported Holding Company Act of 1935 or Section 30(f) of / / Form 4 the Investment Company Act Transactions of 1940 Reported - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) to Carey, Francis J. W.P. Carey & Co. LLC ("WPC") Issuer (Check all applicable) - ------------------------------------------------------------------------------------------- X Director 10% Owner (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ---- --- Number of Reporting Month/Year X Officer (give Other (Specify 485 Lewis Lane Person, if an entity 12/2000 ---- title --- below) - ------------------------------------------- (Voluntary) ------------------- below) (Street) ###-##-#### Vice Chairman ---------------------------- ---------------------------------------------------------- 5. If Amendment, 7. Individual or Joint/Group Filing Date of Original Reporting (Check applicable box) (Month/Year) X Form filed by One ---- Reporting Person Form filed by More than Ambler PA 19002 ---- 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) the end of Direct Benefi- (Month/ Issuer's Fiscal (D) or cial Day/ ---------------------------- Year Indirect Owner- Year) Amount (A) or Price (Instr. 3 and 4) (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/20/00 G 200 D -- 70,613 -- -- - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/20/00 G 200 D -- 70,613 -- -- - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/20/00 G 200 D -- 70,613 -- -- - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/20/00 G 200 D -- 70,613 -- -- - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/20/00 G 200 D -- 70,613 -- -- - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ * If the form is filed by more than one reporting person, see instruction 4(b)(v).
3
FORM 5 (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 (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------- 9. Number of 10. Ownership 11. Nature of Derivative of Derivative Indirect Securities Security: Beneficial Beneficially Direct (D) Ownership Owned at End or Indirect (I) (Instr. 4) of Year (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------------- Explanation of Responses: *Transactions represent dividend reinvestments. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ Francis J. Carey 2/8/2001 See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- ------- **Signature of Reporting Person Date Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure.
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