Filing Details

Accession Number:
0001217463-15-000002
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-09-28 18:00:37
Reporting Period:
2015-09-24
Filing Date:
2015-09-28
Accepted Time:
2015-09-28 18:00:37
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 2015-09-24 4,371 $20.21 116,819 No 4 S Indirect See footnote
Class A Common Stock Disposition 2015-09-24 2,822 $20.20 113,997 No 4 S Indirect See footnote
Class A Common Stock Disposition 2015-09-24 29,407 $20.15 84,590 No 4 S Indirect See footnote
Class A Common Stock Disposition 2015-09-24 44,000 $20.17 337,806 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 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 5,389 Indirect See footnote
Class A Common Stock 2,948 Indirect See footnote
Class A Common Stock 98,000 Indirect See footnote
Class A Common Stock 2,227 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 56,191 56,191 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 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 1988-08-08 900 900 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 56,191 56,191 Indirect
1988-08-08 453,536 453,536 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
1988-08-08 900 900 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
  1. Charles Ratner Revocable Trust dated 7/17/1981.. - trust holds 118,368 Class A Common shares; Class B Common shares - 56,191 shares are held as a direct limited partner of RMS, Ltd; 453,536 shares are held as a limited partnersip interest in FCE Management, LP (a limited partner of RMS, Ltd.). 2,822 shares vested 4/13/2015 and were transferred to this account.
  2. Held by spouse in a street account.
  3. Illana Horowitz Ratner Trust - dated 12/29/92 (spouse).
  4. 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.
  5. Max Ratner 1986 Family Trust for the benefit of children: Kevin Ratner (son)- 2,236 Class A shares and 5,992 Class B shares; Rachel Ratner (daughter) - 8,198 Class A shares and 5,992 Class B shares; Jonathan Ratner (son) - 18,679 Class A shares and 5,992 Class B shares & Adam Ratner (son) - 5,389 Class A shares and 5,992 Class B shares. Charles Ratner is Trustee. All Class B shares (except those held for the benefit of Adam) are held as a limited partnership interest in RMS, Ltd.. Charles Ratner disclaims any beneficial interest.
  6. Max Ratner 1988 Grandchildrens Trust - for the benefit of Adam (son). Charles Ratner disclaims any beneficial interest.
  7. Max Ratner 1999 Irrevocable Trust - trust hold both Class A & Class B shares. Shares are for the benefit of Adam Ratner (son). Charles Ratner disclaims any beneficial interest.
  8. Charles & Ilana Ratner 2007 Equalizing Trust - for the benefit of Adam (son). Charles Ratner disclaims any beneficial interest.
  9. General Partnership interest in RMS, Ltd. partnership a 10% shareholder.
  10. 2005 Stock Option Grant - 25% exercisable 4/06/2007; 25% exercisable 4/06/2008; and 50% exersicable 4/06/2009.
  11. 2006 Stock Option Grant - 25% exercisable 4/04/2008; 25% exercisable 4/04/2009; and 50% exersicable 4/04/2010.
  12. 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.
  13. 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.