Filing Details
- Accession Number:
- 0001217464-13-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-28 18:13:41
- Reporting Period:
- 2013-01-24
- Filing Date:
- 2013-01-28
- Accepted Time:
- 2013-01-28 18:13:41
- 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 | Acquisiton | 2013-01-24 | 27,000 | $15.50 | 1,168,904 | No | 4 | M | Indirect | See footnote |
| Class A Common Stock | Disposition | 2013-01-24 | 25,140 | $17.13 | 1,143,764 | No | 4 | S | Indirect | See footnote |
| Class A Common Stock | Disposition | 2013-01-24 | 360 | $17.23 | 1,143,404 | No | 4 | S | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
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 | 2013-01-24 | 27,000 | $0.00 | 27,000 | $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 | 112,194 | Indirect | See footnote |
| Class A Common Stock | 26,240 | Indirect | See footnote |
| Class A Common Stock | 3,399 | Direct | |
| Class A Common Stock | 5,079 | 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 | 492,495 | 492,495 | Indirect |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 784 | 784 | Direct |
| 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 |
| 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 | 2012 Performance Shares | $0.00 | 2015-12-31 | 1988-08-08 | 20,352 | 20,352 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 1988-08-08 | 492,495 | 492,495 | Indirect |
| 1988-08-08 | 784 | 784 | Direct |
| 1988-08-08 | 5,992 | 5,992 | Indirect |
| 1988-08-08 | 5,992 | 5,992 | 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 |
| 1988-08-08 | 20,352 | 20,352 | Direct |
Footnotes
- James Ratner Revocable Trust dated 12/04/1981. The price $17.133 represents a weighed average of sales prices ranging from $17.09 per share to $17.165 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.
- 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.
- 2010 Restricted Stock Grant - 25% vest on 4/14/2012; 25% vest on 4/14/2013; and 50% vest on 4/14/2014.
- 2011 Restricted Stock Grant - 25% vest on 4/13/2013; 25% vest on 4/13/2014; and 50% vest on 4/13/2015.
- Held as a limited partner in FCE Management, L.P., a limited partnership that is a limited partner in RMS, Ltd.
- Max Ratner 1986 Family Trust for the benefit of Austin Ratner (son) - James Ratner is Trustee. James Ratner disclaims any beneficial interest.
- Max Ratner 1986 Family Trust for the benefit of Daniel Ratner (son) - James Ratner is Trustee. James Ratner disclaims any beneficial interest.
- 2003 Stock Option Grant - 25% exercisable 3/17/05; 25% exercisable 3/17/06; and 50% exercisable 3/17/07.
- 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.
- 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.
- 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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