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Home > Insider Trading > Filing (0001217465-14-000011)

Filing Details

Accession Number:
0001217465-14-000011
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-10-02 14:32:53
Reporting Period:
2014-10-01
Filing Date:
2014-10-02
Accepted Time:
2014-10-02 14:32:53
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
1217465 A Ronald Ratner 50 Public Square, Suit 1100
Cleveland OH 44113		 Executive Vice President Yes Yes Yes No
Reported Non-Derivative Transactions
Show Other Fields >>
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Disposition 2014-10-01 30,000 $19.44 45,853 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 231,646 Indirect See footnote
Class A Common Stock 187,500 Indirect See footnote
Class A Common Stock 4,696 Indirect See footnote
Class A Common Stock 78,408 Indirect See footnote
Class A Common Stock 2,540 Direct
Reported Derivative Holdings
Show Other Fields >>
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 1988-08-08 784 784 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 728,401 728,401 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 150,000 150,000 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 195,510 195,510 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 370,350 370,350 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 468,444 468,444 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
1988-08-08 900 900 Indirect
1988-08-08 784 784 Indirect
1988-08-08 728,401 728,401 Indirect
1988-08-08 150,000 150,000 Indirect
1988-08-08 195,510 195,510 Indirect
1988-08-08 370,350 370,350 Indirect
1988-08-08 468,444 468,444 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. The Ronald Ratner 1986 Trust Agreement, as modified (Ronald is Trustee). The price $19.4426 represents a weighed average of sales prices ranging from $19.37 per share to $19.58 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. Deborah B. Ratner Trust - individually trust of spouse, shares held in street account.
  3. Deborah Ratner 2012 Irrev Trust - Ronald Ratner is trustee.
  4. Deborah B. Ratner, Trustee of the Irene Meldon 1998 Irrevocable dated 12/04/1998 - 2,348 shares for benefit of Matthew (son), and 2,348 shares for benefit of Sarah (daughter) - Ronald Ratner disclaims any beneficial interest.
  5. Max Ratner Grandchildren's Trust dated 12/21/1988 - 18,939 sharesfor the benefit of Sarah (daughter) and 59,469 shares for Matthew (son), Ron Ratner serves as a trust advisor. Ronald Ratner disclaims any beneficial interest.
  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. General Partnership interest in RMS, Ltd. partnership a 10% sharelholder.
  8. The Ronald Ratner 1986 Trust Agreement, as modified (Ronald is Trustee); 728,401 of these shares are held by FCE Management, LP as a limited partner interest; 784 are held by RMS, Ltd. as a limited partnership interest; and 150,000 just held by the trust.
  9. Max Ratner Grandchildren's Trust dated 12/21/1988 - shares are for the benefit of Matthew (son) RMS, Ltd. - 31,058 are held by RMS, Ltd. as a limited partnership interest. Ron Ratner serves as a trust advisor. Ronald Ratner disclaims any beneficial interest.
  10. Max Ratner Grandchildren's Trust dated 12/21/1988 - shares are for the benefit of Sarah (daughter). 55,898 are held by RMS, Ltd. as a limited partnership interest. Ron Ratner serves as a trust advisor. Ronald Ratner disclaims any beneficial interest.
  11. Max Ratner Family 1999 Revocable Trust - 278,540 shares for the benefit of Sarah Ratner (daughter) and 189,904 shares for the benefit of Matthew (son). Ron Ratner serves as a trust advisor. Ronald 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.
  26. Sales in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person (trust) on May 21, 2014.
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