0001217462-14-000007.txt : 20140814
0001217462-14-000007.hdr.sgml : 20140814
20140814192103
ACCESSION NUMBER: 0001217462-14-000007
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140813
FILED AS OF DATE: 20140814
DATE AS OF CHANGE: 20140814
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 BRIAN J
CENTRAL INDEX KEY: 0001217462
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04372
FILM NUMBER: 141044779
MAIL ADDRESS:
STREET 1: 50 PUBLIC SQUARE 1100
CITY: CLEVELAND
STATE: OH
ZIP: 44113
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2014-08-13
0000038067
FOREST CITY ENTERPRISES INC
FCEA/FCEB
0001217462
RATNER BRIAN J
50 PUBLIC SQUARE, SUITE 1100
CLEVELAND
OH
44113
1
1
1
0
Executive Vice President
Class A Common Stock
2014-08-13
4
S
0
150000
19.6353
D
631174
I
See footnote
Class A Common Stock
3192
I
See foot note
Class A Common Stock
532257
I
See foot note
Class A Common Stock
2858
D
Class A Common Stock
7429
D
Class A Common Stock
8544
D
Class A Common Stock
8008
D
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
900
900
D
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
1894
1894
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
420618
420618
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
344736
344736
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
183984
183984
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
88290
88290
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
225547
225547
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
35238
35238
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
26580
26580
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
110712
110712
I
See footnote
2005 Stock Option Grant (right to buy)
31.75
2007-04-06
2015-04-06
Class A Common
15000
15000
D
2006 Stock Option Grant (right to buy)
46.37
2008-04-04
2016-04-04
Class A Common
15000
15000
D
2007 Stock Option Grant (right to buy)
65.35
2009-03-29
2017-03-29
Class A Common
15000
15000
D
2008 Stock Option Grant (right to buy)
36.38
2010-06-18
2018-06-18
Class A Common
9492
9492
D
2009 Stock Option Grant (right to buy)
7.80
2011-04-21
2019-04-21
Class A Common
4746
4746
D
2010 Stock Option Grant (right to buy)
15.89
2012-04-14
2020-04-14
Class A Common
7913
7913
D
2011 Stock Option Grant (right to buy)
17.72
2013-04-13
2021-04-13
Class A Common
9041
9041
D
2012 Performance Shares
0
2015-12-31
1988-08-08
Class A Common
9905
9905
D
2013 Performance Shares
0
2016-12-31
1988-08-08
Class A Common
8093
8093
D
2014 Performance Shares
0
2017-12-31
1988-08-08
Class A Common
8008
8008
D
Brian Ratner Revocable Trust dated 8/18/1986. The price $19.6353 represents a weighed average of sales prices ranging from $19.555 per share to $19.68 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.
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.
Albert B. Ratner 1986 Remainder Interest Trust - 266,129 shares for the benefit of David (son), and 266,128 shares for the benefit of Emily (daughter). Brian Ratner serves as a trust advisor. Brian 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.
2012 Restricted Stock Grant - 25% vest on 4/11/2014; 25% vest on 4/11/2015; and 50% vest on 4/11/2016.
2013 Restricted Stock Grant - 25% vest on 4/08/2015; 25% vest on 4/08/2016; and 50% vest on 4/08/2017.
2014 Restricted Stock Grant - 0% vest on 3/28/2015; 25% vest on 3/28/2016; 25% vest on 3/28/2017; and 50% vest on 3/28/2018.
General Partnership interest in RMS, Ltd. partnership a 10% sharelholder.
Brian Ratner Revocable Trust dated 8/18/1986. - limited partnership interest in FCE Management, L.P. a limited partner of RMS, Ltd.
Albert Ratner 1989 Grandchildren Trust - 172,547 shares for the benefit of David (son), and 172,189 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.
Albert Ratner 1986 Grandchildren's Trust for the benefit of David (son), as limited partner in RMS.
David Ratner, Trustee - Brian Ratner (father) serves as trust advisor. Brian 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.
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 is convertible at any time - there is no fixed exercise date or expiration date.
Geralyn M. Presti, Attorney-in-Fact for Brian J. Ratner
2014-08-14
EX-24
2
poa-bjratner.txt
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\ Brian J.Ratner
Brian J. Ratner