Filing Details
- Accession Number:
- 0001217398-11-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-03 15:11:55
- Reporting Period:
- 2011-08-01
- Filing Date:
- 2011-08-03
- Accepted Time:
- 2011-08-03 15:11:55
- 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 |
---|---|---|---|---|---|---|---|
1217398 | K Joan Shafran | 122 South Street Boston MA 02111 | Yes | No | 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 | 2011-08-01 | 1,000 | $17.68 | 24,050 | No | 4 | S | Indirect | See footnote |
Class A Common Stock | Disposition | 2011-08-01 | 10,000 | $17.68 | 151,220 | 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 |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class A Common Stock | 354 | Indirect | See footnote |
Class A Common Stock | 8,584 | Indirect | See footnote |
Class A Common Stock | 10,036 | Indirect | See footnote |
Class A Common Stock | 83,617 | Direct | |
Class A Common Stock | 37,156 | 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 | 900 | 900 | Indirect |
Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 2,579,908 | 2,479,908 | Indirect |
Common Stock | Class B Common - Convertible | $0.00 | 1988-08-08 | 1988-08-08 | 13,500 | 13,500 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
1988-08-08 | 900 | 900 | Indirect |
1988-08-08 | 2,579,908 | 2,479,908 | Indirect |
1988-08-08 | 13,500 | 13,500 | Indirect |
Footnotes
- Held Indirect - by Powell Partners, of which Ms. Shafran is a general partner
- Faynne Shafran GST Trust - Joan Shafran and Joseph Shafran are Trustees, they have no beneficial interest. Change in share bvalue due to a regular distribution to the beneficiary.
- Nathan Shafran GST Trust - Joan Shafran and Joseph Shafran are Trustees, they have no beneficial interest. Change in share bvalue due to a regular distribution to the beneficiary.
- Held by directly by Joan Shafran in a street account with Wachovia. Transferred 25,000 shares to Raymond James account, see footnote #5.
- Joan Shafran, Trustee - held in street account with Raymond James. The price $17.6775 represents a weighed average of sales prices ranging from $17.565 per share to $18.07 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 Indirect by The Berimore Company (a general partnership). Joan Shafran is a general partner along with siblings, Joseph Shafran and Paula Krulak. Shares were redeemded out of RMS, Ltd, upon withdrawal from the partenership the shares must be converted from Class B Common to Class A Common. The price $17.6775 represents a weighed average of sales prices ranging from $17.565 per share to $18.07 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.
- Joan Shfaran GRIT dated 8/01/2007. Joan Shafran recieves income from the shares but has no beneficial interest; Joan Shafran serves as a Trustee for the trust.
- Held Indirect - General Partner of RMS, Ltd.
- Held Indirect - Held by The Berimore Company as a limited partner of RMS, Ltd. Shares were redeemded out of RMS, Ltd, upon withdrawal from the partenership the shares must be converted from Class B Common to Class A Common. See footnote # 6.
- Held Indirect - Powell Partners.
- Stocks are convertible from Class B Common to Class A Common on a 1-for-1 basis.
- Immediate - stocks are convertible at any time, there is no fixed exercisable date or expiration date.
- Sales in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person (trust) on June 13, 2011.