Filing Details
- Accession Number:
- 0001217463-13-000006
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-16 18:09:25
- Reporting Period:
- 2013-10-14
- Filing Date:
- 2013-10-16
- Accepted Time:
- 2013-10-16 18:09:25
- 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 |
|---|---|---|---|---|---|---|---|
| 1217463 | A Charles Ratner | 50 Public Square, Suite 1100 Cleveland OH 44113 | Chairman Of The Board | Yes | 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 | 2013-10-14 | 25,000 | $19.52 | 200,947 | No | 4 | S | Indirect | See footnote |
| Class A Common Stock | Disposition | 2013-10-14 | 8,500 | $19.54 | 5,389 | No | 4 | S | Indirect | See footnote |
| Class A Common Stock | Disposition | 2013-10-14 | 8,500 | $19.53 | 1,884 | No | 4 | S | Indirect | See footnote |
| Class A Common Stock | Disposition | 2013-10-14 | 8,000 | $19.52 | 2,227 | No | 4 | S | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 4,204 | Indirect | See footnote |
| Class A Common Stock | 506,007 | Indirect | See footnote |
| Class A Common Stock | 441,806 | Indirect | See footnote |
| Class A Common Stock | 4,626 | Indirect | See footnote |
| Class A Common Stock | 2,236 | Indirect | See footnote |
| Class A Common Stock | 8,198 | Indirect | See footnote |
| Class A Common Stock | 18,679 | Indirect | See footnote |
| Class A Common Stock | 2,948 | Indirect | See footnote |
| Class A Common Stock | 160,000 | Indirect | See footnote |
| Class A Common Stock | 2,750 | Indirect | See footnote |
| Class A Common Stock | 31,750 | Indirect | See footnote |
| Class A Common Stock | 23,413 | Indirect | See footnote |
| Class A Common Stock | 2,517 | Direct | |
| Class A Common Stock | 4,233 | 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 | 900 | 900 | Indirect |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 75,078 | 75,078 | Indirect |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 453,536 | 453,536 | Indirect |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 23,531 | 23,531 | 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 | 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 | 73,080 | 73,080 | Indirect |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 378,500 | 378,500 | Indirect |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 3,120 | 3,120 | Indirect |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 193,154 | 193,154 | Indirect |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 256,682 | 256,682 | Indirect |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 244,855 | 244,855 | Indirect |
| Class A Common | 2005 Stock Option Grant (right to buy) | $31.75 | 2007-04-06 | 2015-04-06 | 40,000 | 40,000 | Direct |
| Class A Common | 2006 Stock Option Grant (right to buy) | $46.37 | 2008-04-04 | 2016-04-04 | 40,000 | 40,000 | Direct |
| Class A Common | 2007 Stock Option Grant (right to buy) | $65.35 | 2009-03-29 | 2017-03-29 | 40,000 | 40,000 | Direct |
| Class A Common | 2008 Stock Option Grant (right to buy) | $36.38 | 2010-06-18 | 2018-06-18 | 19,691 | 19,691 | Direct |
| Class A Common | 2009 Stock Option Grant (right to buy) | $7.80 | 2011-04-21 | 2019-04-21 | 24,220 | 24,220 | Direct |
| Class A Common | 2010 Stock Option Grant (right to buy) | $15.89 | 2012-04-14 | 2020-04-14 | 40,289 | 40,289 | Direct |
| Class A Common | 2011 Stock Option Grant (right to buy) | $17.72 | 2013-04-13 | 2021-04-13 | 26,782 | 26,782 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 1988-08-08 | 900 | 900 | Indirect |
| 1988-08-08 | 75,078 | 75,078 | Indirect |
| 1988-08-08 | 453,536 | 453,536 | Indirect |
| 1988-08-08 | 23,531 | 23,531 | Indirect |
| 1988-08-08 | 5,992 | 5,992 | Indirect |
| 1988-08-08 | 5,992 | 5,992 | Indirect |
| 1988-08-08 | 5,992 | 5,992 | Indirect |
| 1988-08-08 | 5,992 | 5,992 | Indirect |
| 1988-08-08 | 73,080 | 73,080 | Indirect |
| 1988-08-08 | 378,500 | 378,500 | Indirect |
| 1988-08-08 | 3,120 | 3,120 | Indirect |
| 1988-08-08 | 193,154 | 193,154 | Indirect |
| 1988-08-08 | 256,682 | 256,682 | Indirect |
| 1988-08-08 | 244,855 | 244,855 | Indirect |
| 2015-04-06 | 40,000 | 40,000 | Direct |
| 2016-04-04 | 40,000 | 40,000 | Direct |
| 2017-03-29 | 40,000 | 40,000 | Direct |
| 2018-06-18 | 19,691 | 19,691 | Direct |
| 2019-04-21 | 24,220 | 24,220 | Direct |
| 2020-04-14 | 40,289 | 40,289 | Direct |
| 2021-04-13 | 26,782 | 26,782 | Direct |
Footnotes
- Charles Ratner Revocable Trust dated 7/17/1981. The price $19.516 represents a weighed average of sales prices ranging from $19.50 per share to $19.585 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 in an account at UBS Investments.
- Illana Horowitz Ratner Trust - dated 12/29/92 (spouse).
- Charles Ratner 1986 Remainder Interest Trust - Albert Ratner is trustee; Charles Ratner retains an income interest for life. Beneficiaries are his children: Kevin, Rachel and Jonathan.
- Charles Ratner 2001 Trust - dated 11/01/01. Trust holds 18,504 shares to split among children; son Adam has an interest in 4,626 shares. Charles Ratner disclaims beneficial interest.
- Max Ratner 1986 Family Trust for the benefit of children: Kevin Ratner (son), Rachel Ratner (daughter), Jonathan Ratner (son) & Adam Ratner (son). Charles Ratner is Trustee. Class B shares are held as a limited partnership interest in RMS, Ltd.. Charles Ratner disclaims any beneficial interest. The price $19.536 represents a weighed average of sales prices ranging from $19.50 per share to $19.57 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.
- Max Ratner 1988 Grandchildrens Trust - a limited partner in RMS, Ltd., for the benefit of Adam (son). Charles Ratner disclaims any beneficial interest.
- Charles Ratner 1986 Family Trust Agreement U/A/D 12/18/86 FBO Adam Ratner. Charles Ratner disclaims beneficial interest. The price $19.533 represents a weighed average of sales prices ranging from $19.50 per share to $19.56 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.
- Max Ratner 1999 Irrevocable Trust - trust hold both Class A & Class B shares. Class B shares are held as a limited partnership interest in FCE Management, L.P., a limited partner of RMS, Ltd.. Shares are for the benefit of Adam Ratner (son). Charles Ratner disclaims any beneficial interest.
- Charles & Ilana Ratner 2007 Equalizing Trust - for the benefit of Adam (son). Charles Ratner disclaims any beneficial interest. The price $19.516 represents a weighed average of sales prices ranging from $19.50 per share to $19.53 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.
- Kevin Ratner 1986 Trust - Charles Ratner is a co-trustee and trust advisor. Charles Ratner disclaims any beneficial interest.
- Rachel Ratner 1988 Trust - Charles Ratner is a co-trustee and trust advisor. Charles Ratner disclaims any beneficial interest.
- Jonathan Ratner 1992 Trust - Charles Ratner is a co-trustee and trust advisor. Charles 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. 1,259 shares vested on 4/14/2013 and were moved to the Charles Ratenr Trust, see footnote #1.
- 2011 Restricted Stock Grant - 25% vest on 4/13/2013; 25% vest on 4/13/2014; and 50% vest on 4/13/2015. 1,410 shares vested on 4/13/2013 and were moved to the Charles Ratenr Trust, see footnote #1.
- General Partnership interest in RMS, Ltd. partnership a 10% shareholder.
- The Charles Ratner Revocable Trust Agreement dated 7/17/1981, as modified (Charles is settlor and co-trustee). RMS, Ltd. limited partnership interest.
- The Charles Ratner Revocable Trust Agreement dated 7/17/1981, as modified (Charles is settlor and co-trustee) FCE Management, L.P. interest as limited partner in RMS, Ltd.
- Charles Ratner 2001 Trust - dated 11/01/01 - FCE Management, L.P. interest as limited partner in RMS, Ltd. - total holdings of trust are 94,124, shares are split among children, son Adam has an interest in 23,531. Charles Ratner disclaims beneficial interest.
- Adam Ratner - individual account (son). Charles 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.
- 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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