Filing Details
- Accession Number:
- 0001217464-15-000005
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2015-09-28 18:26:13
- Reporting Period:
- 2015-09-24
- Filing Date:
- 2015-09-28
- Accepted Time:
- 2015-09-28 18:26:13
- Original Submission Date:
- 2015-09-28
- 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 | 2015-09-24 | 37,000 | $20.16 | 180,328 | 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 | 292,779 | Indirect | See footnote |
| Class A Common Stock | 95,694 | Indirect | See footnote |
| Class A Common Stock | 26,240 | Indirect | See footnote |
| Class A Common Stock | 76,525 | Indirect | See footnote |
| Class A Common Stock | 13,539 | 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 |
| Class A Common | 2015 Performance Shares | $0.00 | 2017-12-31 | 1988-08-08 | 13,539 | 13,539 | Direct |
| Class A Common | 2015 Out Performance Shares | $0.00 | 2017-12-31 | 1988-08-08 | 20,000 | 20,000 | 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 |
| 1988-08-08 | 13,539 | 13,539 | Direct |
| 1988-08-08 | 20,000 | 20,000 | Direct |
Footnotes
- James Ratner Revocable Trust dated 12/04/1981. - trust holds 292,779 Class A Common shares; Class B Common shares - 784 shares are held as a direct limited partner of RMS, Ltd; 484,695 shares are held as a limited partnersip interest in FCE Management, LP (a limited partner of RMS, Ltd.) and remaining 556,833 shares are held directly by the trust. 2,540 shares vested on 4/13/2015 and were transferred to this account. The price $20.16 represents a weighed average of sales prices ranging from $20.19 per share to $20.13 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.
- Held by spouse at street account with McDonald Investment.
- Austin G. Ratner 1992 Trust - James A. Ratner (father) is trust advisor. James Ratner disclaims any beneficial interest.
- 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.
- 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.
- 2015 Restricted Stock Grant - 25% vest on 3/26/2016; 25% vest on 3/26/2017; and 50% vest on 3/26/2018.
- Max Ratner 1986 Family Trust for the benefit of Austin Ratner (son) - James Ratner is Trustee. James Ratner disclaims any beneficial interest.
- Max Ratner Family 1999 Irrev .Trust for the benefit of Austin Ratner (son) - James Ratner is Trustee. James Ratner disclaims any beneficial interest.
- Max Ratner Family 1999 Irrev .Trust for the benefit of DanielRatner (son) - James Ratner is Trustee. James Ratner disclaims any beneficial interest.
- Daniel G. Ratner 1993 Trust - James A. Ratner (father) is trust advisor. James Ratner disclaims any beneficial interest. James Ratner disclaims any beneficial interest.
- 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.
- 2013 Stock Option Grant - 25% exercisable 4/08/2015; 25% exercisable 4/08/2016; and 50% exercisable 4/08/2017.
- 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.
- 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.
- 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.
- 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.
- Performance Shares Award - granted 3/26/2015 - performance period is from January 1, 2015 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 $24.62 per share. There is no fixed expiration date.
- Out Performance Shares Award - granted 3/27/2015 - performance period is from January 1, 2015 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 300% of the number of Performance Shares granted. Fair market value on date of grant is $25.31 per share. There is no fixed expiration date.
- 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.
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