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Filing Details

Accession Number:: 0001217464-15-000005
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2015-09-28 18:26:13
Reporting Period:: 2015-09-24

Filing Date:: 2015-09-28
Accepted Time:: 2015-09-28 18:26:13
Original Submission Date:: 2015-09-28
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

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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	2015-09-24	37,000	$20.16	180,328	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	292,779	Indirect	See footnote
Class A Common Stock	95,694	Indirect	See footnote
Class A Common Stock	26,240	Indirect	See footnote
Class A Common Stock	76,525	Indirect	See footnote
Class A Common Stock	13,539	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	556,833	556,833	Indirect
Common Stock	Class B Common - Convertible	$0.00	1988-08-08	1988-08-08	484,695	484,695	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	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	260,235	260,235	Indirect
Common Stock	Class B Common - Convertible	$0.00	1988-08-08	1988-08-08	260,235	260,235	Indirect
Common Stock	Class B Common - Convertible	$0.00	1988-08-08	1988-08-08	38,451	38,451	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
Class A Common	2015 Performance Shares	$0.00	2017-12-31	1988-08-08	13,539	13,539	Direct
Class A Common	2015 Out Performance Shares	$0.00	2017-12-31	1988-08-08	20,000	20,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
1988-08-08	556,833	556,833	Indirect
1988-08-08	484,695	484,695	Indirect
1988-08-08	784	784	Indirect
1988-08-08	5,992	5,992	Indirect
1988-08-08	5,992	5,992	Indirect
1988-08-08	260,235	260,235	Indirect
1988-08-08	260,235	260,235	Indirect
1988-08-08	38,451	38,451	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
1988-08-08	13,539	13,539	Direct
1988-08-08	20,000	20,000	Direct

Footnotes

James Ratner Revocable Trust dated 12/04/1981. - trust holds 292,779 Class A Common shares; Class B Common shares - 784 shares are held as a direct limited partner of RMS, Ltd; 484,695 shares are held as a limited partnersip interest in FCE Management, LP (a limited partner of RMS, Ltd.) and remaining 556,833 shares are held directly by the trust. 2,540 shares vested on 4/13/2015 and were transferred to this account. The price $20.16 represents a weighed average of sales prices ranging from $20.19 per share to $20.13 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.
Austin G. Ratner 1992 Trust - James A. Ratner (father) is trust advisor. James Ratner disclaims any beneficial interest.
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.
Max Ratner 1988 Grandchildren's Trust for the Benefit of Daniel Ratner (adult child of James Ratner) - James Ratner is trustee. James Ratner disclaims any beneficial interest.
2015 Restricted Stock Grant - 25% vest on 3/26/2016; 25% vest on 3/26/2017; and 50% vest on 3/26/2018.
Max Ratner 1986 Family Trust for the benefit of Austin Ratner (son) - James Ratner is Trustee. James Ratner disclaims any beneficial interest.
Max Ratner Family 1999 Irrev .Trust for the benefit of Austin Ratner (son) - James Ratner is Trustee. James Ratner disclaims any beneficial interest.
Max Ratner Family 1999 Irrev .Trust for the benefit of DanielRatner (son) - James Ratner is Trustee. James Ratner disclaims any beneficial interest.
Daniel G. Ratner 1993 Trust - James A. Ratner (father) is trust advisor. James Ratner disclaims any beneficial interest. James 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.
Performance Shares Award - granted 3/26/2015 - performance period is from January 1, 2015 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 $24.62 per share. There is no fixed expiration date.
Out Performance Shares Award - granted 3/27/2015 - performance period is from January 1, 2015 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 300% of the number of Performance Shares granted. Fair market value on date of grant is $25.31 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.