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Filing Details

Accession Number:: 0001217465-14-000006
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-06-12 17:29:21
Reporting Period:: 2014-06-12

Filing Date:: 2014-06-12
Accepted Time:: 2014-06-12 17:29:21
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Disposition	2014-06-12	100,000	$19.29	78,408	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	195,853	Indirect	See footnote
Class A Common Stock	231,646	Indirect	See footnote
Class A Common Stock	187,500	Indirect	See footnote
Class A Common Stock	4,696	Indirect	See footnote
Class A Common Stock	2,540	Direct

Reported Derivative Holdings

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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	Indirect
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	150,000	150,000	Indirect
Common Stock	Class B Common - Convertible	$0.00	1988-08-08	1988-08-08	195,510	195,510	Indirect
Common Stock	Class B Common - Convertible	$0.00	1988-08-08	1988-08-08	370,350	370,350	Indirect
Common Stock	Class B Common - Convertible	$0.00	1988-08-08	1988-08-08	468,444	468,444	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

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
1988-08-08	900	900	Indirect
1988-08-08	784	784	Indirect
1988-08-08	728,401	728,401	Indirect
1988-08-08	150,000	150,000	Indirect
1988-08-08	195,510	195,510	Indirect
1988-08-08	370,350	370,350	Indirect
1988-08-08	468,444	468,444	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

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 Ratner 2012 Irrev Trust - Ronald Ratner is trustee.
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 59,469 shares for Matthew (son), Ron Ratner serves as a trust advisor. Ronald Ratner disclaims any beneficial interest. The price $19.28589 represents a weighed average of sales prices ranging from $19.265 per share to $19.295 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.
2011 Restricted Stock Grant - 25% vest on 4/13/2013; 25% vest on 4/13/2014; and 50% vest on 4/13/2015.
General Partnership interest in RMS, Ltd. partnership a 10% sharelholder.
The Ronald Ratner 1986 Trust Agreement, as modified (Ronald is Trustee); 728,401 of these shares are held by FCE Management, LP as a limited partner interest; 784 are held by RMS, Ltd. as a limited partnership interest; and 150,000 just held by the trust.
Max Ratner Grandchildren's Trust dated 12/21/1988 - shares are for the benefit of Matthew (son) RMS, Ltd. - 31,058 are held by RMS, Ltd. as a limited partnership interest. Ron Ratner serves as a trust advisor. Ronald Ratner disclaims any beneficial interest.
Max Ratner Grandchildren's Trust dated 12/21/1988 - shares are for the benefit of Sarah (daughter). 55,898 are held by RMS, Ltd. as a 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.
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.
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.