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Filing Details

Accession Number:: 0001217464-17-000005
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-09-14 21:37:25
Reporting Period:: 2017-09-12

Accepted Time:: 2017-09-14 21:37:25
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1647509	Forest City Realty Trust Inc.	FCEA	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1217464	A James Ratner	50 Public Square, Suite 1100 Cleveland OH 44113		Yes	No	No	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	2017-09-12	38,500	$0.00	1,561,703	No	5	G	Indirect	See footnote
Class A Common Stock	Disposition	2017-09-12	31,148	$25.82	1,530,555	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2017-09-13	29,506	$25.54	1,501,049	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2017-09-14	31,956	$25.48	1,469,093	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2017-09-12	15,575	$25.82	164,753	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2017-09-13	14,753	$25.54	150,000	No	4	S	Indirect	See footnote
Class A Common Stock	Disposition	2017-09-13	15,977	$25.48	134,023	No	4	S	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	5	G	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
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	95,694	Indirect	See footnote
Class A Common Stock	34,089	Indirect	See footnote
Class A Common Stock	76,525	Indirect	See footnote
Class A Common Stock	6,770	Direct
Class A Common Stock	8,954	Direct
Class A Common Stock	11,452	Direct
Class A Common Stock	7,849	Indirect	See footnote
Class A Common Stock	340,907	Indirect	See footnote
Class A Common Stock	340,907	Indirect	See footnote
Class A Common Stock	50,370	Indirect	See footnote

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
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	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	2016 Performance Shares	$0.00	2018-12-31	1988-08-08	17,908	17,908	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
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	17,796	17,796	Direct
1988-08-08	13,539	13,539	Direct
1988-08-08	17,908	17,908	Direct
1988-08-08	20,000	20,000	Direct

Footnotes

James Ratner Revocable Trust dated 12/04/1981. On 9/12/2017, 9/13/2017 and 9/14/2017, the Trust sold 31,148, 29,506 and 31,956 shares of Class A Common Stock, respectively. 9/12/2017 - The price of $25.8246 represents a weighted average of sales prices ranging from $25.61 per share to $26.14 per share. 9/13/2017 - The price of $25.5442 represents a weighted average of sales prices ranging from $25.40 per share to $25.77 per share. 9/14/2017 - The price of $25.4847 represents a weighted average of sales prices ranging from $25.38 per share to $25.62 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. Post-transactions, the Trust holds 1,469,093 shares of Class A Common Stock as follows: 593,300 shares held as a direct limited partner of RMS, Ltd.; and 875,793 directly.
Held by spouse at street account with Stifel Nicolaus & Co., Inc.
Austin G. Ratner (son) 1992 Trust (James A. Ratner is trust advisor). On 9/12/2017, 9/13/2017 and 9/14/2017, the Trust sold 15,575, 14,753 and 15,977 shares of Class A Common Stock, respectively. 9/12/2017 - The price of $25.8246 represents a weighted average of sales prices ranging from $25.61 per share to $26.14 per share. 9/13/2017 - The price of $25.5442 represents a weighted average of sales prices ranging from $25.40 per share to $25.77 per share. 9/14/2017 - The price of $25.4847 represents a weighted average of sales prices ranging from $25.38 per share to $25.62 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. Post-transactions, the Trust holds 134,023 shares of Class A Common Stock directly. James Ratner disclaims any beneficial interest.
Max Ratner 1986 Family Trust for the Benefit of Daniel Ratner (son) (James Ratner is trustee).Trust holds 34,089 shares of Class A Common Stock directly. 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.
2016 Restricted Stock Grant - 25% vest on 3/23/2017; 25% vest on 3/23/2018; and 50% vest on 3/23/2019.
2017 Restricted Stock Grant - 100% vest on 3/24/2018.
Max Ratner 1986 Family Trust for the benefit of Austin Ratner (son) (James Ratner is Trustee). Trust holds 7,849 shares of Class A Common Stock directly. James Ratner disclaims any beneficial interest.
Max Ratner Family 1999 Irrevocable Trust for the benefit of Austin Ratner (son) (James Ratner is Trustee). Trust holds 340,907 shares of Class A Common Stock as follows: 300,000 as a direct, limited partner of RMS, Ltd.; and 40,907 directly.
Max Ratner Family 1999 Irrevocable Trust for the benefit of Austin Ratner (son) (James Ratner is Trustee). Trust holds 340,907 shares of Class A Common Stock as follows: 300,000 as a direct, limited partner of RMS, Ltd.; and 40,907 directly.
Daniel G. Ratner (son) 1993 Trust (James A. Ratner is trust advisor). Trust holds 50,371 shares of Class A Common Stock directly.
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 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.
Performance Shares Award - granted 3/23/2016 - performance period is from January 1, 2016 to December 31, 2018. 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 $20.94 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.