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Home > Insider Trading > Filing (0001217466-14-000018)

Filing Details

Accession Number:
0001217466-14-000018
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-11-05 14:52:57
Reporting Period:
2014-11-03
Filing Date:
2014-11-05
Accepted Time:
2014-11-05 14:52:57
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
1217466 Deborah Ratnersalzberg 301 Water St Se Suite 201
Washington DC 20003		 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 2014-11-03 6,000 $20.93 538,773 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 44,135 Indirect See footnote
Class A Common Stock 13,465 Indirect See footnote
Class A Common Stock 163,418 Indirect See footnote
Class A Common Stock 432,257 Indirect See footnote
Class A Common Stock 3,676 Indirect See footnote
Class A Common Stock 7,352 Indirect See footnote
Class A Common Stock 7,352 Indirect See footnote
Class A Common Stock 2,891 Direct
Class A Common Stock 5,966 Direct
Class A Common Stock 6,866 Direct
Class A Common Stock 6,629 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 Direct
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 180 180 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 100,000 100,000 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 148,800 148,800 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 782,666 782,666 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 5,040 5,040 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 33,834 33,834 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 33,514 33,514 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 58,392 58,392 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 179,140 179,140 Indirect
Common Stock Class B Common - Convertible $0.00 1988-08-08 1988-08-08 515,489 515,489 Indirect
Class A Common 2005 Stock Option Grant (right to buy) $31.75 2007-04-06 2015-04-06 15,000 15,000 Direct
Class A Common 2006 Stock Option Grant (right to buy) $46.37 2008-04-04 2016-04-04 15,000 15,000 Direct
Class A Common 2007 Stock Option Grant (right to buy) $65.35 2009-03-29 2017-03-29 15,000 15,000 Direct
Class A Common 2008 Stock Option Grant (right to buy) $36.38 2010-06-18 2018-06-18 9,599 9,599 Direct
Class A Common 2009 Stock Option Grant (right to buy) $7.80 2011-04-21 2019-04-21 4,800 4,800 Direct
Class A Common 2010 Stock Option Grant (right to buy) $15.89 2012-04-14 2020-04-14 8,002 8,002 Direct
Class A Common 2011 Stock Option Grant (right to buy) $17.72 2013-04-13 2021-04-13 9,146 9,146 Direct
Class A Common 2012 Performance Shares $0.00 2015-12-31 1988-08-08 7,954 7,954 Direct
Class A Common 2013 Performance Shares $0.00 2016-12-31 1988-08-08 6,504 6,504 Direct
Class A Common 2014 Performance Shares $0.00 2017-12-31 1988-08-08 6,629 6,629 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
1988-08-08 900 900 Direct
1988-08-08 180 180 Indirect
1988-08-08 100,000 100,000 Indirect
1988-08-08 148,800 148,800 Indirect
1988-08-08 782,666 782,666 Indirect
1988-08-08 5,040 5,040 Indirect
1988-08-08 33,834 33,834 Indirect
1988-08-08 33,514 33,514 Indirect
1988-08-08 58,392 58,392 Indirect
1988-08-08 179,140 179,140 Indirect
1988-08-08 515,489 515,489 Indirect
2015-04-06 15,000 15,000 Direct
2016-04-04 15,000 15,000 Direct
2017-03-29 15,000 15,000 Direct
2018-06-18 9,599 9,599 Direct
2019-04-21 4,800 4,800 Direct
2020-04-14 8,002 8,002 Direct
2021-04-13 9,146 9,146 Direct
1988-08-08 7,954 7,954 Direct
1988-08-08 6,504 6,504 Direct
1988-08-08 6,629 6,629 Direct
Footnotes
  1. U/A Deborah Ratner-Salzberg Trust dated 2/09/1987. The price $20.9301 represents a weighed average of sales prices ranging from $20.93 per share to $20.935 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. Michael Salzberg (spouse) shares held directly in street accounts.
  3. Albert B. Ratner 1989 Grandchildren's Trust - for the Benefit of Anna Salzberg (daughter) 83,603 and Eric Salzberg (son) 79,815. Deborah Ratner-Salzberg disclaims any beneficial interest.
  4. Albert Ratner Remainder Interest Trust - for the benefit of Anna Salzberg (daughter) 216,128 Class A shares & 50,000 Class B shares, and Eric Salzberg (son) 216,129 Class A shares & 50,000 Class B shares. Deborah Ratner-Salzberg disclaims any beneficial interest.
  5. Albert B. Ratner 1986 Grandchildren's Trust - for the benefit of Anna Salzberg (daughter).
  6. Albert B. Ratner 1987 Family Trust - (Class B shares are held as a limited partner in RMS, Ltd.) for the benefit of Eric Salzberg (son). Deborah Ratner-Salzberg disclaims any beneficial interest.
  7. Albert B. Ratner 1999 Revocable Trust- 515,489 Class B shares are held as a limited partnership interest in FCE Management, L.P. limited partner of RMS, Ltd.; 255,222 shares for the benefit of Anna Salzberg (daughter), and 260,267 shares for the benefit of Eric Salzberg (son). Deborah Ratner-Salzberg disclaims any benefical interest. Deborah Ratner serves as an advisor to the trust. 7,352 Class A shares (3,676 - Anna & 3,676 - Eric) are not held as a limited partnership interest in FCE Management, LP.
  8. 2011 Restricted Stock Grant - 25% vest on 4/13/2013; 25% vest on 4/13/2014; and 50% vest on 4/13/2015.
  9. 2012 Restricted Stock Grant - 25% vest on 4/11/2014; 25% vest on 4/11/2015; and 50% vest on 4/11/2016.
  10. 2013 Restricted Stock Grant - 25% vest on 4/08/2015; 25% vest on 4/08/2016; and 50% vest on 4/08/2017.
  11. 2014 Restricted Stock Grant - 0% vest on 3/28/2015; 25% vest on 3/28/2016; 25% vest on 3/28/2017; and 50% vest on 3/28/2018.
  12. General Partnership interest in RMS, Ltd., an Ohio limited partnership.
  13. U/A Deborah Ratner-Salzberg Trust dated 2/09/1987 - limited partnership interest in RMS, Ltd. limited partnership. 378,822 shares are held as a direct limited partner of RMS, Ltd and 403,844 shares are held as a limited partnersip interest in FCE Management, LP (a limited partner of RMS, Ltd.).
  14. Anna Salzberg (daughter), shares are held in street account at UBS Financial Services as limited partner in RMS, Ltd. Deborah Ratner-Salzberg disclaims any benefical interest.
  15. Albert B. Ratner 1989 Grandchildren's Trust - for the benefit of Anna Salzberg (daughter). Deborah Ratner-Salzberg disclaims any beneficial interest.
  16. Albert B. Ratner 1989 Grandchildren's Trust - for the benefit of Eric Salzberg (son). Deborah Ratner-Salzberg disclaims any beneficial interest.
  17. Albert B. Ratner 1989 Grandchildrens Trust - limited partnership interest in FCE Management, L.P. limited partner of RMS, Ltd., 44,367 shares are for the benefit of Anna Salzberg (daughter) and 134,773 shares are for the benefit of Eric Salzberg (son). Deborah Ratner-Salzberg disclaims any benefical interest.
  18. 2005 Stock Option Grant - 25% exercisable 4/06/2007; 25% exercisable 4/06/2008; and 50% exercisable 4/06/2009. 2006 Stock Option Grant - 25% exercisable 4/04/2008; 25% exercisable 4/04/2009; and 50% exercisable 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.
  19. 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.
  20. 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.
  21. 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.
  22. 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.
  23. Sales in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person (trust) on December 19, 2013.
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