0001217465-14-000011.txt : 20141002
0001217465-14-000011.hdr.sgml : 20141002
20141002143253
ACCESSION NUMBER: 0001217465-14-000011
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20141001
FILED AS OF DATE: 20141002
DATE AS OF CHANGE: 20141002
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: FOREST CITY ENTERPRISES INC
CENTRAL INDEX KEY: 0000038067
STANDARD INDUSTRIAL CLASSIFICATION: OPERATORS OF NONRESIDENTIAL BUILDINGS [6512]
IRS NUMBER: 340863886
STATE OF INCORPORATION: OH
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1100 TERMINAL TOWER
STREET 2: 50 PUBLIC SQ
CITY: CLEVELAND
STATE: OH
ZIP: 44113
BUSINESS PHONE: 216-621-6060
MAIL ADDRESS:
STREET 1: 1100 TERMINAL TOWER
STREET 2: 50 PUBLIC SQUARE
CITY: CLEVLAND
STATE: OH
ZIP: 44113
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RATNER RONALD A
CENTRAL INDEX KEY: 0001217465
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04372
FILM NUMBER: 141135872
MAIL ADDRESS:
STREET 1: 50 PUBLIC SQUARE SUITE 1100
CITY: CLEVELAND
STATE: OH
ZIP: 44113
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2014-10-01
0000038067
FOREST CITY ENTERPRISES INC
FCEA/FCEB
0001217465
RATNER RONALD A
50 PUBLIC SQUARE, SUIT 1100
CLEVELAND
OH
44113
1
1
1
0
Executive Vice President
Class A Common Stock
2014-10-01
4
S
0
30000
19.4426
D
45853
I
See footnote
Class A Common Stock
231646
I
See footnote
Class A Common Stock
187500
I
See footnote
Class A Common Stock
4696
I
See footnote
Class A Common Stock
78408
I
See footnote
Class A Common Stock
2540
D
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
900
900
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
784
784
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
728401
728401
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
150000
150000
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
195510
195510
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
370350
370350
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
468444
468444
I
See footnote
2005 Stock Option Grant (right to buy)
31.75
2007-04-06
2015-04-06
Class A Common
25200
25200
D
2006 Stock Option Grant (right to buy)
46.37
2008-04-04
2016-04-04
Class A Common
25200
25200
D
2007 Stock Option Grant (right to buy)
65.35
2009-03-29
2017-03-29
Class A Common
25200
25200
D
2008 Stock Option Grant (right to buy)
36.38
2010-06-18
2018-06-18
Class A Common
17721
17721
D
2009 Stock Option Grant (right to buy)
7.80
2011-04-21
2019-04-21
Class A Common
21797
21797
D
2010 Stock Option Grant (right to buy)
15.89
2012-04-14
2020-04-14
Class A Common
36635
36635
D
2011 Stock Option Grant (right to buy)
17.72
2013-04-13
2021-04-13
Class A Common
24103
24103
D
2012 Stock Option Grant (right to buy)
14.74
2014-04-11
2022-04-11
Class A Common
32477
32477
D
2013 Stock Option Grant (right to buy)
17.60
2015-04-08
2023-04-08
Class A Common
30384
30384
D
2014 Stock Option Grant (right to buy)
18.73
2016-03-28
2024-03-28
Class A Common
28745
28745
D
2012 Performance Shares
0
2015-12-31
1988-08-08
Class A Common
20352
20352
D
2013 Performance Shares
0
2016-12-31
1988-08-08
Class A Common
17940
17940
D
2014 Performance Shares
0
2017-12-31
1988-08-08
Class A Common
17796
17796
D
The Ronald Ratner 1986 Trust Agreement, as modified (Ronald is Trustee). The price $19.4426 represents a weighed average of sales prices ranging from $19.37 per share to $19.58 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.
Deborah B. Ratner Trust - individually trust of spouse, shares held in street account.
Deborah Ratner 2012 Irrev Trust - Ronald Ratner is trustee.
Deborah B. Ratner, Trustee of the Irene Meldon 1998 Irrevocable dated 12/04/1998 - 2,348 shares for benefit of Matthew (son), and 2,348 shares for benefit of Sarah (daughter) - Ronald Ratner disclaims any beneficial interest.
Max Ratner Grandchildren's Trust dated 12/21/1988 - 18,939 sharesfor the benefit of Sarah (daughter) and 59,469 shares for Matthew (son), Ron Ratner serves as a trust advisor. Ronald Ratner disclaims any beneficial interest.
2011 Restricted Stock Grant - 25% vest on 4/13/2013; 25% vest on 4/13/2014; and 50% vest on 4/13/2015.
General Partnership interest in RMS, Ltd. partnership a 10% sharelholder.
The Ronald Ratner 1986 Trust Agreement, as modified (Ronald is Trustee); 728,401 of these shares are held by FCE Management, LP as a limited partner interest; 784 are held by RMS, Ltd. as a limited partnership interest; and 150,000 just held by the trust.
Max Ratner Grandchildren's Trust dated 12/21/1988 - shares are for the benefit of Matthew (son) RMS, Ltd. - 31,058 are held by RMS, Ltd. as a limited partnership interest. Ron Ratner serves as a trust advisor. Ronald Ratner disclaims any beneficial interest.
Max Ratner Grandchildren's Trust dated 12/21/1988 - shares are for the benefit of Sarah (daughter). 55,898 are held by RMS, Ltd. as a limited partnership interest. Ron Ratner serves as a trust advisor. Ronald Ratner disclaims any beneficial interest.
Max Ratner Family 1999 Revocable Trust - 278,540 shares for the benefit of Sarah Ratner (daughter) and 189,904 shares for the benefit of Matthew (son). Ron Ratner serves as a trust advisor. Ronald 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.
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.
Sales in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person (trust) on May 21, 2014.
Geralyn M. Presti, Attorney-in-Fact for Ronald A. Ratner
2014-10-02
EX-24
2
poa-rratner.txt
POWER OF ATTORNEY
SEC FORMS 4 & 5
POWER OF ATTORNEY
The undersigned, designated by the Board of Directors as a Section 16
Company Insider, hereby constitutes and appoints Gerayln M. Presti,
J. Matthew Shady and Patricia A. Comai, with full power of substitution
and resubstitution, as attorney of the undersigned, their name, place
and stead, to sign and file under the Securities Exchange Act of 1934,
Section 16 Reporting Forms, any and all amendments and apply for EDGAR
Access Codes as required thereto, to be filed with the Securities and
Exchange Commission pertaining to such filing, with full power and
authority to do and perform any and all acts and things whatsoever
required and necessary to be done in the premises, hereby ratifying
and approving the act of said attorney and any such substitute.
EFFECTIVE as of February 25, 2013.
By: \s\ Ronald A. Ratner
Ronald A. Ratner