Filing Details

Accession Number:
0001217464-14-000008
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-08-14 19:32:42
Reporting Period:
2014-08-13
Filing Date:
2014-08-14
Accepted Time:
2014-08-14 19:32:42
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
1217464 A James Ratner 50 Public Square, Suite 1100
Cleveland OH 44113
Executive Vice President No 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 2014-08-13 36,000 $19.59 76,525 No 4 S Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 319,239 Indirect See footnote
Class A Common Stock 95,694 Indirect See footnote
Class A Common Stock 217,328 Indirect See footnote
Class A Common Stock 26,240 Indirect See footnote
Class A Common Stock 2,540 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 1988-08-08 556,833 556,833 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 484,695 484,695 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 784 784 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 1988-08-08 260,235 260,235 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 260,235 260,235 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 38,451 38,451 Indirect
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 17,721 17,721 Direct
Class A Common 2009 Stock Option Grant (right to buy) $7.80 2011-04-21 2019-04-21 21,797 21,797 Direct
Class A Common 2010 Stock Option Grant (right to buy) $15.89 2012-04-14 2020-04-14 36,635 36,635 Direct
Class A Common 2011 Stock Option Grant (right to buy) $17.72 2013-04-13 2021-04-13 24,103 24,103 Direct
Class A Common 2012 Stock Option Grant (right to buy) $14.74 2014-04-11 2022-04-11 32,477 32,477 Direct
Class A Common 2013 Stock Option Grant (right to buy) $17.60 2015-04-08 2023-04-08 30,384 30,384 Direct
Class A Common 2014 Stock Option Grant (right to buy) $18.73 2016-03-28 2024-03-28 28,745 28,745 Direct
Class A Common 2012 Performance Shares $0.00 2015-12-31 1988-08-08 20,352 20,352 Direct
Class A Common 2013 Performance Shares $0.00 2016-12-31 1988-08-08 17,940 17,940 Direct
Class A Common 2014 Performance Shares $0.00 2017-12-31 1988-08-08 17,796 17,796 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
1988-08-08 556,833 556,833 Indirect
1988-08-08 484,695 484,695 Indirect
1988-08-08 784 784 Indirect
1988-08-08 5,992 5,992 Indirect
1988-08-08 5,992 5,992 Indirect
1988-08-08 260,235 260,235 Indirect
1988-08-08 260,235 260,235 Indirect
1988-08-08 38,451 38,451 Indirect
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 17,721 17,721 Direct
2019-04-21 21,797 21,797 Direct
2020-04-14 36,635 36,635 Direct
2021-04-13 24,103 24,103 Direct
2022-04-11 32,477 32,477 Direct
2023-04-08 30,384 30,384 Direct
2024-03-28 28,745 28,745 Direct
1988-08-08 20,352 20,352 Direct
1988-08-08 17,940 17,940 Direct
1988-08-08 17,796 17,796 Direct
Footnotes
  1. James Ratner Revocable Trust dated 12/04/1981.
  2. Held by spouse at street account with McDonald Investment.
  3. Austin G. Ratner 1992 Trust - James A. Ratner (father) is trust advisor. James Ratner disclaims any beneficial interest.
  4. Max Ratner 1986 Family Trust for the Benefit of Daniel Ratner (adult child of James Ratner) - James Ratner is trustee. James Ratner disclaims any beneficial interest.
  5. Max Ratner 1988 Grandchildren's Trust for the Benefit of Daniel Ratner (adult child of James Ratner) - James Ratner is trustee. James Ratner disclaims any beneficial interest. The price $19.59 represents a weighed average of sales prices ranging from $19.595 per share to $19.66 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.
  6. 2011 Restricted Stock Grant - 25% vest on 4/13/2013; 25% vest on 4/13/2014; and 50% vest on 4/13/2015.
  7. James Ratner Revocable Trust dated 12/04/1981. Held as a limited partnership interest in FCE Management, L.P., a limited partnership that is a limited partner in RMS, Ltd.
  8. James Ratner Revocable Trust dated 12/04/1981. Held as a limited partnership interest in RMS, Ltd.
  9. Max Ratner 1986 Family Trust for the benefit of Austin Ratner (son) - James Ratner is Trustee. James Ratner disclaims any beneficial interest.
  10. Max Ratner Family 1999 Irrev .Trust for the benefit of Austin Ratner (son) - James Ratner is Trustee. James Ratner disclaims any beneficial interest.
  11. Max Ratner Family 1999 Irrev .Trust for the benefit of DanielRatner (son) - James Ratner is Trustee. James Ratner disclaims any beneficial interest.
  12. 2005 Stock Option Grant - 25% exercisable 4/06/2007; 25% exercisable 4/06/2008; and 50% exersicable 4/06/2009.
  13. 2006 Stock Option Grant - 25% exercisable 4/04/2008; 25% exercisable 4/04/2009; and 50% exersicable 4/04/2010.
  14. 2007 Stock Option Grant - 25% exercisable 3/29/2009; 25% exercisable 3/29/2010; and 50% exercisable 3/29/2011.
  15. 2008 Stock Option Grant - 25% exercisable 6/18/2010; 25% exercisable 6/18/2011; and 50% exercisable 6/18/2012.
  16. 2009 Stock Option Grant - 25% exercisable 4/21/2011; 25% exercisable 4/21/2012; and 50% exercisable 4/21/2013.
  17. 2010 Stock Option Grant - 25% exercisable 4/14/2012; 25% exercisable 4/14/2013; and 50% exercisable 4/14/2014.
  18. 2011 Stock Option Grant - 25% exercisable 4/13/2013; 25% exercisable 4/13/2014; and 50% exercisable 4/13/2015.
  19. 2012 Stock Option Grant - 25% exercisable 4/11/2014; 25% exercisable 4/11/2015; and 50% exercisable 4/11/2016.
  20. 2013 Stock Option Grant - 25% exercisable 4/08/2015; 25% exercisable 4/08/2016; and 50% exercisable 4/08/2017.
  21. 2014 Stock Option Grant - 0% exercisable 3/28/2015; 25% exercisable 3/28/2016; 25% exercisable 3/28/2017; and 50% exercisable 3/28/2018.
  22. 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.
  23. Performance Shares Award - granted 4/08/2013 - performance period is from February 1, 2013 to December 31, 2016. 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 $17.60 per share. There is no fixed expiration date.
  24. Performance Shares Award - granted 3/28/2014 - performance period is from January 1, 2014 to December 31, 2017. 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 $18.73 per share. There is no fixed expiration date.
  25. 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.