Filing Details

Accession Number:
0001217463-13-000006
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-10-16 18:09:25
Reporting Period:
2013-10-14
Filing Date:
2013-10-16
Accepted Time:
2013-10-16 18:09:25
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
1217463 A Charles Ratner 50 Public Square, Suite 1100
Cleveland OH 44113
Chairman Of The Board Yes Yes Yes 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 2013-10-14 25,000 $19.52 200,947 No 4 S Indirect See footnote
Class A Common Stock Disposition 2013-10-14 8,500 $19.54 5,389 No 4 S Indirect See footnote
Class A Common Stock Disposition 2013-10-14 8,500 $19.53 1,884 No 4 S Indirect See footnote
Class A Common Stock Disposition 2013-10-14 8,000 $19.52 2,227 No 4 S Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnote
No 4 S Indirect See footnote
No 4 S Indirect See footnote
No 4 S Indirect See footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 4,204 Indirect See footnote
Class A Common Stock 506,007 Indirect See footnote
Class A Common Stock 441,806 Indirect See footnote
Class A Common Stock 4,626 Indirect See footnote
Class A Common Stock 2,236 Indirect See footnote
Class A Common Stock 8,198 Indirect See footnote
Class A Common Stock 18,679 Indirect See footnote
Class A Common Stock 2,948 Indirect See footnote
Class A Common Stock 160,000 Indirect See footnote
Class A Common Stock 2,750 Indirect See footnote
Class A Common Stock 31,750 Indirect See footnote
Class A Common Stock 23,413 Indirect See footnote
Class A Common Stock 2,517 Direct
Class A Common Stock 4,233 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 900 900 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 75,078 75,078 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 453,536 453,536 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 23,531 23,531 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 5,992 5,992 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 5,992 5,992 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 5,992 5,992 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 5,992 5,992 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 73,080 73,080 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 378,500 378,500 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 3,120 3,120 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 193,154 193,154 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 256,682 256,682 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 244,855 244,855 Indirect
Class A Common 2005 Stock Option Grant (right to buy) $31.75 2007-04-06 2015-04-06 40,000 40,000 Direct
Class A Common 2006 Stock Option Grant (right to buy) $46.37 2008-04-04 2016-04-04 40,000 40,000 Direct
Class A Common 2007 Stock Option Grant (right to buy) $65.35 2009-03-29 2017-03-29 40,000 40,000 Direct
Class A Common 2008 Stock Option Grant (right to buy) $36.38 2010-06-18 2018-06-18 19,691 19,691 Direct
Class A Common 2009 Stock Option Grant (right to buy) $7.80 2011-04-21 2019-04-21 24,220 24,220 Direct
Class A Common 2010 Stock Option Grant (right to buy) $15.89 2012-04-14 2020-04-14 40,289 40,289 Direct
Class A Common 2011 Stock Option Grant (right to buy) $17.72 2013-04-13 2021-04-13 26,782 26,782 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
1988-08-08 900 900 Indirect
1988-08-08 75,078 75,078 Indirect
1988-08-08 453,536 453,536 Indirect
1988-08-08 23,531 23,531 Indirect
1988-08-08 5,992 5,992 Indirect
1988-08-08 5,992 5,992 Indirect
1988-08-08 5,992 5,992 Indirect
1988-08-08 5,992 5,992 Indirect
1988-08-08 73,080 73,080 Indirect
1988-08-08 378,500 378,500 Indirect
1988-08-08 3,120 3,120 Indirect
1988-08-08 193,154 193,154 Indirect
1988-08-08 256,682 256,682 Indirect
1988-08-08 244,855 244,855 Indirect
2015-04-06 40,000 40,000 Direct
2016-04-04 40,000 40,000 Direct
2017-03-29 40,000 40,000 Direct
2018-06-18 19,691 19,691 Direct
2019-04-21 24,220 24,220 Direct
2020-04-14 40,289 40,289 Direct
2021-04-13 26,782 26,782 Direct
Footnotes
  1. Charles Ratner Revocable Trust dated 7/17/1981. The price $19.516 represents a weighed average of sales prices ranging from $19.50 per share to $19.585 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.
  2. Held by spouse in an account at UBS Investments.
  3. Illana Horowitz Ratner Trust - dated 12/29/92 (spouse).
  4. Charles Ratner 1986 Remainder Interest Trust - Albert Ratner is trustee; Charles Ratner retains an income interest for life. Beneficiaries are his children: Kevin, Rachel and Jonathan.
  5. Charles Ratner 2001 Trust - dated 11/01/01. Trust holds 18,504 shares to split among children; son Adam has an interest in 4,626 shares. Charles Ratner disclaims beneficial interest.
  6. Max Ratner 1986 Family Trust for the benefit of children: Kevin Ratner (son), Rachel Ratner (daughter), Jonathan Ratner (son) & Adam Ratner (son). Charles Ratner is Trustee. Class B shares are held as a limited partnership interest in RMS, Ltd.. Charles Ratner disclaims any beneficial interest. The price $19.536 represents a weighed average of sales prices ranging from $19.50 per share to $19.57 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.
  7. Max Ratner 1988 Grandchildrens Trust - a limited partner in RMS, Ltd., for the benefit of Adam (son). Charles Ratner disclaims any beneficial interest.
  8. Charles Ratner 1986 Family Trust Agreement U/A/D 12/18/86 FBO Adam Ratner. Charles Ratner disclaims beneficial interest. The price $19.533 represents a weighed average of sales prices ranging from $19.50 per share to $19.56 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.
  9. Max Ratner 1999 Irrevocable Trust - trust hold both Class A & Class B shares. Class B shares are held as a limited partnership interest in FCE Management, L.P., a limited partner of RMS, Ltd.. Shares are for the benefit of Adam Ratner (son). Charles Ratner disclaims any beneficial interest.
  10. Charles & Ilana Ratner 2007 Equalizing Trust - for the benefit of Adam (son). Charles Ratner disclaims any beneficial interest. The price $19.516 represents a weighed average of sales prices ranging from $19.50 per share to $19.53 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.
  11. Kevin Ratner 1986 Trust - Charles Ratner is a co-trustee and trust advisor. Charles Ratner disclaims any beneficial interest.
  12. Rachel Ratner 1988 Trust - Charles Ratner is a co-trustee and trust advisor. Charles Ratner disclaims any beneficial interest.
  13. Jonathan Ratner 1992 Trust - Charles Ratner is a co-trustee and trust advisor. Charles Ratner disclaims any beneficial interest.
  14. 2010 Restricted Stock Grant - 25% vest on 4/14/2012; 25% vest on 4/14/2013; and 50% vest on 4/14/2014. 1,259 shares vested on 4/14/2013 and were moved to the Charles Ratenr Trust, see footnote #1.
  15. 2011 Restricted Stock Grant - 25% vest on 4/13/2013; 25% vest on 4/13/2014; and 50% vest on 4/13/2015. 1,410 shares vested on 4/13/2013 and were moved to the Charles Ratenr Trust, see footnote #1.
  16. General Partnership interest in RMS, Ltd. partnership a 10% shareholder.
  17. The Charles Ratner Revocable Trust Agreement dated 7/17/1981, as modified (Charles is settlor and co-trustee). RMS, Ltd. limited partnership interest.
  18. The Charles Ratner Revocable Trust Agreement dated 7/17/1981, as modified (Charles is settlor and co-trustee) FCE Management, L.P. interest as limited partner in RMS, Ltd.
  19. Charles Ratner 2001 Trust - dated 11/01/01 - FCE Management, L.P. interest as limited partner in RMS, Ltd. - total holdings of trust are 94,124, shares are split among children, son Adam has an interest in 23,531. Charles Ratner disclaims beneficial interest.
  20. Adam Ratner - individual account (son). Charles Ratner disclaims any beneficial interest.
  21. 2005 Stock Option Grant - 25% exercisable 4/06/2007; 25% exercisable 4/06/2008; and 50% exersicable 4/06/2009.
  22. 2006 Stock Option Grant - 25% exercisable 4/04/2008; 25% exercisable 4/04/2009; and 50% exersicable 4/04/2010.
  23. 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.
  24. Class B Common Stock is convertible to Class A Common Stock on a share -for -share basis; stock are convertible at any time - there is no fixed exercise date or expiration date.