Filing Details
- Accession Number:
- 0001217462-10-000005
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-09-02 14:57:01
- Reporting Period:
- 2010-09-02
- Filing Date:
- 2010-09-02
- Accepted Time:
- 2010-09-02 14:57:01
- 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 |
|---|---|---|---|---|---|---|---|
| 1217462 | J Brian Ratner | 50 Public Square, Suite 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 | 2010-09-02 | 3,175 | $12.01 | 917,223 | 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 | 3,192 | Indirect | See foot note |
| Class A Common Stock | 1,988 | Direct | |
| Class A Common Stock | 10,189 | Direct | |
| Class A Common Stock | 4,975 | Direct | |
| Class A Common Stock | 662 | Direct |
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 | Direct |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 228,858 | 228,858 | Indirect |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 332,204 | 332,204 | Indirect |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 182,090 | 182,090 | Indirect |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 86,396 | 86,396 | Indirect |
| Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 225,547 | 225,547 | Indirect |
| Class A Common | 2003 Stock Option Grant (right to buy) | $15.50 | 2005-03-17 | 2013-03-17 | 16,200 | 16,200 | Direct |
| Class A Common | 2005 Stock Option Grant (right to buy) | $31.75 | 2007-04-06 | 2015-04-06 | 15,000 | 15,000 | Direct |
| Class A Common | 2006 Stock Option Grant (right to buy) | $46.37 | 2008-04-04 | 2016-04-04 | 15,000 | 15,000 | Direct |
| Class A Common | 2007 Stock Option Grant (right to buy) | $65.35 | 2009-03-29 | 2017-03-29 | 15,000 | 15,000 | Direct |
| Class A Common | 2008 Stock Option Grant (right to buy) | $36.38 | 2010-06-18 | 2018-06-18 | 9,492 | 9,492 | Direct |
| Class A Common | 2009 Stock Option Grant (right to buy) | $7.80 | 2011-04-21 | 2019-04-21 | 4,746 | 4,746 | Direct |
| Class A Common | 2010 Stock Option Grant (right to buy) | $15.89 | 2011-04-14 | 2020-04-14 | 7,913 | 7,913 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 1988-08-08 | 900 | 900 | Direct |
| 1988-08-08 | 228,858 | 228,858 | Indirect |
| 1988-08-08 | 332,204 | 332,204 | Indirect |
| 1988-08-08 | 182,090 | 182,090 | Indirect |
| 1988-08-08 | 86,396 | 86,396 | Indirect |
| 1988-08-08 | 225,547 | 225,547 | Indirect |
| 2013-03-17 | 16,200 | 16,200 | Direct |
| 2015-04-06 | 15,000 | 15,000 | Direct |
| 2016-04-04 | 15,000 | 15,000 | Direct |
| 2017-03-29 | 15,000 | 15,000 | Direct |
| 2018-06-18 | 9,492 | 9,492 | Direct |
| 2019-04-21 | 4,746 | 4,746 | Direct |
| 2020-04-14 | 7,913 | 7,913 | Direct |
Footnotes
- Brian Ratner Revocable Trust dated 8/18/1986; Sales in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 14, 2010. Shares sold in small increments over multiple transactions share price ranged from $12.00 per share to $12.05 per share, the average price per share was $12.01.
- Albert B. Ratner 1989 Grand Childrens Trust - 1,596 shares for the benefit of David (son), and 1,596 shares for the benefit of Emily (daughter). Brian Ratner serves as trustee for the trust.
- 2008 Restricted Stock Grant - 25% vest on 6/18/2010; 25% vest on 6/18/2011; and 50% vest on 6/18/2012. 625 shares that vested were moved to street account footnote 6.
- 2009 Restricted Stock Grant - 25% vest on 4/21/2011; 25% vest on 4/21/2012; and 50% vest on 4/21/2013.
- 2010 Restricted Stock Grant - 25% vest on 4/14/2012; 25% vest on 4/14/2013; and 50% vest on 4/14/2014.
- Share are held in a street account with Raymond James. 625 shares of restricted stock that vested 6/18/2010 were moved to this account.
- General Partnership interest in RMS, Ltd. partnership a 10% sharelholder.
- Brian Ratner Trust dated 1/15/1958 - limited partnership interest in FCE Management, L.P. a limited partner of RMS, Ltd.
- Albert Ratner 1989 Grandchildren Trust - 166,281 shares for the benefit of David (son), and 165,923 shares for the benefit of Emily (daughter) as a limited partner of FCE Managment, L.P., a limited partner of RMS, Ltd. Brian Ratner serves as trustee for the trust.
- Albert B. Ratner 1989 Grand Childrens Trust - a limited partnership interest in RMS, Ltd., for the benefit of David (son). Brian Ratner disclaims any beneficial interest. Brian Ratner serves as trustee for the trust.
- Albert B. Ratner 1989 Grand Childrens Trust - a limited partnership interest in RMS, Ltd., for the benefit of Emily (daughter). Brian Ratner disclaims any beneficial interest. Brian Ratner serves as trustee for the trust.
- Albert B. Ratner 1999 Revocable Trust - limited partnership interest in FCE Management, L.P., a limited partner of RMS, Ltd., 107,771 shares for the benefit of David (son), and 117,776 shares for the benefit of Emily (daughter). Brian Ratner disclaims any benefical interest. Brian Ratner serves as an advisor to the trust.
- 2003 Stock Option Grant - 25% exercisable 3/17/2005; 25% exercisable 3/17/2006; and 50% exercisable 3/17/2007.
- 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 on 4/04/2008; 25% exercisable on 4/04/2009; and 50% exersicable on 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.
- Class B Common Stock is convertible to Class A Common Stock on a share -for -share basis; stock is convertible at any time - there is no fixed exercise date or expiration date.
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