Filing Details
- Accession Number:
- 0001217455-13-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-24 18:25:06
- Reporting Period:
- 2013-01-22
- Filing Date:
- 2013-01-24
- Accepted Time:
- 2013-01-24 18:25:06
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 38067 | Forest City Enterprises Inc | FCEA/FCEB | Operators Of Nonresidential Buildings (6512) | 340863886 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1217455 | G Robert Obrien | 50 Public Square, Suite 1100 Cleveland OH 44113 | Exec Vp & Cfo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Disposition | 2012-12-28 | 3,000 | $0.00 | 67,444 | No | 5 | G | Indirect | See footnote |
| Class A Common Stock | Acquisiton | 2012-07-06 | 320 | $0.00 | 9,847 | No | 5 | G | Indirect | See footnote |
| Class A Common Stock | Acquisiton | 2012-07-06 | 480 | $0.00 | 10,327 | No | 5 | G | Indirect | See footnote |
| Class A Common Stock | Acquisiton | 2012-07-06 | 320 | $0.00 | 9,863 | No | 5 | G | Indirect | See footnote |
| Class A Common Stock | Acquisiton | 2012-07-06 | 480 | $0.00 | 10,343 | No | 5 | G | Indirect | See footnote |
| Class A Common Stock | Acquisiton | 2012-07-06 | 160 | $0.00 | 9,703 | No | 5 | G | Indirect | See footnote |
| Class A Common Stock | Acquisiton | 2012-07-06 | 320 | $0.00 | 10,023 | No | 5 | G | Indirect | See footnote |
| Class A Common Stock | Acquisiton | 2012-07-06 | 320 | $0.00 | 10,343 | No | 5 | G | Indirect | See footnote |
| Class A Common Stock | Acquisiton | 2013-01-22 | 43,200 | $15.50 | 92,488 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2013-01-22 | 43,200 | $17.20 | 49,288 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Indirect | See footnote |
| No | 5 | G | Indirect | See footnote |
| No | 5 | G | Indirect | See footnote |
| No | 5 | G | Indirect | See footnote |
| No | 5 | G | Indirect | See footnote |
| No | 5 | G | Indirect | See footnote |
| No | 5 | G | Indirect | See footnote |
| No | 5 | G | Indirect | See footnote |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common | 2003 Stock Option Grant (right to buy) | Disposition | 2013-01-22 | 43,200 | $0.00 | 43,200 | $15.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2005-03-17 | 2013-03-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 48,277 | Indirect | See footnote |
| Class A Common Stock | 22,328 | Direct | |
| Class A Common Stock | 45,783 | Direct | |
| Class A Common Stock | 65,744 | Direct | |
| Class A Common Stock | 57,666 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common | 2005 Stock Option Grant (right to buy) | $31.75 | 2007-04-06 | 2015-04-06 | 25,200 | 25,200 | Direct |
| Class A Common | 2006 Stock Option Grant (right to buy) | $46.37 | 2008-04-04 | 2016-04-04 | 25,200 | 25,200 | Direct |
| Class A Common | 2007 Stock Option Grant (right to buy) | $65.35 | 2009-03-29 | 2017-03-29 | 25,200 | 25,200 | Direct |
| Class A Common | 2008 Stock Option Grant (right to buy) | $36.38 | 2010-06-18 | 2018-06-18 | 28,059 | 28,059 | Direct |
| Class A Common | 2009 Stock Option Grant (right to buy) | $7.80 | 2011-04-21 | 2019-04-21 | 14,030 | 14,030 | Direct |
| Class A Common | 2010 Stock Option Grant (right to buy) | $15.89 | 2012-04-14 | 2020-04-14 | 36,035 | 36,035 | Direct |
| Class A Common | 2011 Stock Option Grant (right to buy) | $17.72 | 2013-04-13 | 2021-04-13 | 44,190 | 44,190 | Direct |
| Class A Common | 2012 Stock Option Grant (right to buy) | $14.74 | 2014-04-11 | 2022-04-11 | 39,694 | 39,694 | Direct |
| Class A Common | 2012 Performance Shares | $0.00 | 2015-12-31 | 1988-08-08 | 24,875 | 24,875 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-04-06 | 25,200 | 25,200 | Direct |
| 2016-04-04 | 25,200 | 25,200 | Direct |
| 2017-03-29 | 25,200 | 25,200 | Direct |
| 2018-06-18 | 28,059 | 28,059 | Direct |
| 2019-04-21 | 14,030 | 14,030 | Direct |
| 2020-04-14 | 36,035 | 36,035 | Direct |
| 2021-04-13 | 44,190 | 44,190 | Direct |
| 2022-04-11 | 39,694 | 39,694 | Direct |
| 1988-08-08 | 24,875 | 24,875 | Direct |
Footnotes
- 2008 GRAT for Robert G. O'Brien.
- Robert G. O'Brien Trust - account with Schwab . Adjusting balance to reflect correct number of shares, miscalculation after a transfer reported on a Form 4 - 5/2011 and an mathmatical error on Form 5 - 3/2012.
- 2009 Restricted Stock Grant - 25% vest on 4/21/2011; 25% vest on 4/21/2012; and 50% vest on 4/21/2013.
- 2010 Restricted Stock Grant - 25% vest on 4/14/2012; 25% vest on 4/14/2013; and 50% vest on 4/14/2014.
- 2011 Restricted Stock Grant - 25% vest on 4/13/2013; 25% vest on 4/13/2014; and 50% vest on 4/13/2015.
- 2012 Restricted Stock Grant - 25% vest on 4/11/2014; 25% vest on 4/11/2015; and 50% vest on 4/11/2016.
- Shares held by Robert L. O'Brien, son - Indirect
- Shares held by Kathleen G. O'Brien, daughter - Indirect
- Shares held by Sara F. O'Brien, daughter - Indirect
- Shares are held by Robert & Ann (wife) O'Brien in a street account at Commonwealth. 19,342 shares were moved to this account from the direct registration account with registered agent Wells Fargo. The price $17.203 represents a weighed average of sales prices ranging from $17.17 per share to $17.25 per share. Full information regarding the number of shares sold at each separate price will be provided to the SEC, the issuer or a security holder of the issuer upon request.
- 2003 Stock Option Grant - 25% exercisable 3/17/2005, 25% exercisable 3/17/2006, and 50% exercisable 3/17/2007.
- 2005 Stock Option Grant - 25% exercisable 4/06/2007; 25% exercisable 4/06/2008; and 50% exersicable 4/06/2009.
- 2006 Stock Option Grant - 25% exercisable 4/04/2008; 25% exercisable 4/04/2009; and 50% exersicable 4/04/2010.
- 2007 Stock Option Grant - 25% exercisable 3/29/2009; 25% exercisable 3/29/2010; and 50% exercisable 3/29/2011.
- 2008 Stock Option Grant - 25% exercisable 6/18/2010; 25% exercisable 6/18/2011; and 50% exercisable 6/18/2012.
- 2009 Stock Option Grant - 25% exercisable 4/21/2011; 25% exercisable 4/21/2012; and 50% exercisable 4/21/2013.
- 2010 Stock Option Grant - 25% exercisable 4/14/2012; 25% exercisable 4/14/2013; and 50% exercisable 4/14/2014.
- 2011 Stock Option Grant - 25% exercisable 4/13/2013; 25% exercisable 4/13/2014; and 50% exercisable 4/13/2015.
- 2012 Stock Option Grant - 25% exercisable 4/11/2014; 25% exercisable 4/11/2015; and 50% exercisable 4/11/2016.
- Performance Shares Award - granted 4/11/2012 - performance period is from February 1, 2012 to December 31, 2015. Awards will be available to the grantee at the end of the performance period provided that certain performance criteria are met. The actual number of shares earned could range from 0 to 200% of the number of Performance Shares granted. Fair market value on date of grant is $14.74 per share. There is no fixed expiration date.
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