Filing Details
- Accession Number:
- 0001217465-10-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-04-07 13:00:00
- Reporting Period:
- 2010-04-05
- Filing Date:
- 2010-04-07
- Accepted Time:
- 2010-04-07 16:57:30
- 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 |
---|---|---|---|---|---|---|---|
1217465 | A Ronald Ratner | 50 Public Square, Suit 1100 Cleveland OH 44113 | Executive Vice President | 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 | 2010-04-05 | 18,940 | $15.11 | 37,878 | No | 4 | S | Indirect | See footnote |
Class A Common Stock | Disposition | 2010-04-05 | 9,470 | $15.11 | 28,408 | 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 |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class A Common Stock | 1,008,539 | Indirect | See footnote |
Class A Common Stock | 239,446 | Indirect | See footnote |
Class A Common Stock | 4,696 | Indirect | See footnote |
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 | 784 | 784 | Direct |
Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 728,401 | 728,401 | Indirect |
Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 715,860 | 715,860 | Indirect |
Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 468,444 | 468,444 | Indirect |
Class A Common | 2003 Stock Option Grant (right to buy) | $15.50 | 2005-03-17 | 2013-03-17 | 27,000 | 27,000 | Direct |
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 Stock | 2008 Performance Shares | $0.00 | 2012-01-31 | 1988-08-08 | 19,791 | 19,791 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
1988-08-08 | 900 | 900 | Indirect |
1988-08-08 | 784 | 784 | Direct |
1988-08-08 | 728,401 | 728,401 | Indirect |
1988-08-08 | 715,860 | 715,860 | Indirect |
1988-08-08 | 468,444 | 468,444 | Indirect |
2013-03-17 | 27,000 | 27,000 | Direct |
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 |
1988-08-08 | 19,791 | 19,791 | Direct |
Footnotes
- The Ronald Ratner 1986 Trust Agreement, as modified (Ronald is Trustee).
- Deborah Ratner Trust - individually trust of spouse, shares held in account at McDonald Investments.
- Deborah B. Ratner, Trustee of the Irene Meldon 1998 Irrevocable dated 12/04/1998 - 2,348 shares for benefit of Matthew (son), and 2,348 shares for benefit of Sarah (daughter) - Ronald Ratner disclaims any beneficial interest.
- Max Ratner Grandchildren's Trust dated 12/21/1988 - 18,939 sharesfor the benefit of Sarah (daughter) and 9,469 shares for Matthew (son), Ron Ratner serves as a trust advisor. Ronald Ratner disclaims any beneficial interest.
- General Partnership interest in RMS, Ltd. partnership a 10% sharelholder.
- The Ronald Ratner 1986 Trust Agreement, as modified (Ronald is Trustee); these shares are held by FCE Management, LP as a limited partner of RMS, Ltd. (limited partnership).
- Max Ratner Grandchildren's Trust dated 12/21/1988 - 370,350 shares for the benefit of Sarah (daughter) and 345,510 for the benefit of Matthew (son) RMS, Ltd. - limited partnership interest. Ron Ratner serves as a trust advisor. Ronald Ratner disclaims any beneficial interest.
- Max Ratner Family 1999 Revocable Trust - 278,540 shares for the benefit of Sarah Ratner (daughter) and 189,904 shares for the benefit of Matthew (son). Ron Ratner serves as a trust advisor. Ronald 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.
- Performance Shares Award - granted 6/18/2008 - performance period is from May 1, 2008 to January 31, 2012. 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 175% of the number of Performance Shares granted. Fair market value on date of grant is $36.38 per share. There is no fixed expirationdate.
- 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.