Filing Details

Accession Number:
0001217455-13-000001
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-01-24 18:25:06
Reporting Period:
2013-01-22
Filing Date:
2013-01-24
Accepted Time:
2013-01-24 18:25:06
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
1217455 G Robert Obrien 50 Public Square, Suite 1100
Cleveland OH 44113
Exec Vp & Cfo No Yes No 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 2012-12-28 3,000 $0.00 67,444 No 5 G Indirect See footnote
Class A Common Stock Acquisiton 2012-07-06 320 $0.00 9,847 No 5 G Indirect See footnote
Class A Common Stock Acquisiton 2012-07-06 480 $0.00 10,327 No 5 G Indirect See footnote
Class A Common Stock Acquisiton 2012-07-06 320 $0.00 9,863 No 5 G Indirect See footnote
Class A Common Stock Acquisiton 2012-07-06 480 $0.00 10,343 No 5 G Indirect See footnote
Class A Common Stock Acquisiton 2012-07-06 160 $0.00 9,703 No 5 G Indirect See footnote
Class A Common Stock Acquisiton 2012-07-06 320 $0.00 10,023 No 5 G Indirect See footnote
Class A Common Stock Acquisiton 2012-07-06 320 $0.00 10,343 No 5 G Indirect See footnote
Class A Common Stock Acquisiton 2013-01-22 43,200 $15.50 92,488 No 4 M Direct
Class A Common Stock Disposition 2013-01-22 43,200 $17.20 49,288 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 G Indirect See footnote
No 5 G Indirect See footnote
No 5 G Indirect See footnote
No 5 G Indirect See footnote
No 5 G Indirect See footnote
No 5 G Indirect See footnote
No 5 G Indirect See footnote
No 5 G Indirect See footnote
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common 2003 Stock Option Grant (right to buy) Disposition 2013-01-22 43,200 $0.00 43,200 $15.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2005-03-17 2013-03-17 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 48,277 Indirect See footnote
Class A Common Stock 22,328 Direct
Class A Common Stock 45,783 Direct
Class A Common Stock 65,744 Direct
Class A Common Stock 57,666 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
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 28,059 28,059 Direct
Class A Common 2009 Stock Option Grant (right to buy) $7.80 2011-04-21 2019-04-21 14,030 14,030 Direct
Class A Common 2010 Stock Option Grant (right to buy) $15.89 2012-04-14 2020-04-14 36,035 36,035 Direct
Class A Common 2011 Stock Option Grant (right to buy) $17.72 2013-04-13 2021-04-13 44,190 44,190 Direct
Class A Common 2012 Stock Option Grant (right to buy) $14.74 2014-04-11 2022-04-11 39,694 39,694 Direct
Class A Common 2012 Performance Shares $0.00 2015-12-31 1988-08-08 24,875 24,875 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
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 28,059 28,059 Direct
2019-04-21 14,030 14,030 Direct
2020-04-14 36,035 36,035 Direct
2021-04-13 44,190 44,190 Direct
2022-04-11 39,694 39,694 Direct
1988-08-08 24,875 24,875 Direct
Footnotes
  1. 2008 GRAT for Robert G. O'Brien.
  2. Robert G. O'Brien Trust - account with Schwab . Adjusting balance to reflect correct number of shares, miscalculation after a transfer reported on a Form 4 - 5/2011 and an mathmatical error on Form 5 - 3/2012.
  3. 2009 Restricted Stock Grant - 25% vest on 4/21/2011; 25% vest on 4/21/2012; and 50% vest on 4/21/2013.
  4. 2010 Restricted Stock Grant - 25% vest on 4/14/2012; 25% vest on 4/14/2013; and 50% vest on 4/14/2014.
  5. 2011 Restricted Stock Grant - 25% vest on 4/13/2013; 25% vest on 4/13/2014; and 50% vest on 4/13/2015.
  6. 2012 Restricted Stock Grant - 25% vest on 4/11/2014; 25% vest on 4/11/2015; and 50% vest on 4/11/2016.
  7. Shares held by Robert L. O'Brien, son - Indirect
  8. Shares held by Kathleen G. O'Brien, daughter - Indirect
  9. Shares held by Sara F. O'Brien, daughter - Indirect
  10. Shares are held by Robert & Ann (wife) O'Brien in a street account at Commonwealth. 19,342 shares were moved to this account from the direct registration account with registered agent Wells Fargo. The price $17.203 represents a weighed average of sales prices ranging from $17.17 per share to $17.25 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. 2003 Stock Option Grant - 25% exercisable 3/17/2005, 25% exercisable 3/17/2006, and 50% exercisable 3/17/2007.
  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. 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.