-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, C9oucTY6+/ctxSqjVfQtefT8pLLldrwROYl1gbJVFwz+vj0ibW4SAMVnPhY6gaqp nQalRg10u5bIjgzLNiY+UQ== 0001217463-06-000003.txt : 20061215 0001217463-06-000003.hdr.sgml : 20061215 20061215162436 ACCESSION NUMBER: 0001217463-06-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20061213 FILED AS OF DATE: 20061215 DATE AS OF CHANGE: 20061215 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: 0131 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 CHARLES A CENTRAL INDEX KEY: 0001217463 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04372 FILM NUMBER: 061280724 MAIL ADDRESS: STREET 1: 50 PUBLIC SQUARE SUITE 1100 CITY: CLEVELAND STATE: OH ZIP: 44113 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2006-12-13 0000038067 FOREST CITY ENTERPRISES INC FCEA/FCEB 0001217463 RATNER CHARLES A 50 PUBLIC SQUARE, SUITE 1100 CLEVELAND OH 44113 1 1 1 0 Chairman of the Bd, CEO & Pres Class A Common Stock 785938 I See footnote Class A Common Stock 875 I See footnote Class A Common Stock 4204 I See footnote Class A Common Stock 237500 I See footnote Class A Common Stock 541806 I See footnote Class A Common Stock 182014 I See footnote Class A Common Stock 2006-12-13 4 M 0 45600 14.27 A 109775 D Class A Common Stock 2006-12-13 4 M 0 43200 15.50 A 152975 D Class A Common Stock 2006-12-13 4 S 0 200 57.45 D 152775 D Class A Common Stock 2006-12-13 4 S 0 850 57.44 D 151925 D Class A Common Stock 2006-12-13 4 S 0 1000 57.43 D 150925 D Class A Common Stock 2006-12-13 4 S 0 200 57.40 D 150725 D Class A Common Stock 2006-12-13 4 S 0 300 57.42 D 150425 D Class A Common Stock 2006-12-13 4 S 0 200 57.41 D 150225 D Class A Common Stock 2006-12-13 4 S 0 100 57.26 D 150125 D Class A Common Stock 2006-12-13 4 S 0 100 57.36 D 150025 D Class A Common Stock 2006-12-13 4 S 0 100 57.28 D 149925 D Class A Common Stock 2006-12-13 4 S 0 100 57.24 D 149825 D Class A Common Stock 2006-12-13 4 S 0 100 57.27 D 149725 D Class A Common Stock 2006-12-13 4 S 0 200 57.22 D 149525 D Class A Common Stock 2006-12-13 4 S 0 300 57.17 D 149225 D Class A Common Stock 2006-12-13 4 S 0 200 57.18 D 149025 D Class A Common Stock 2006-12-13 4 S 0 300 57.16 D 148725 D Class A Common Stock 2006-12-13 4 S 0 200 57.15 D 148525 D Class A Common Stock 2006-12-13 4 S 0 400 57.14 D 148125 D Class A Common Stock 2006-12-13 4 S 0 6100 57.10 D 142025 D Class A Common Stock 2006-12-13 4 S 0 600 57.08 D 141425 D Class A Common Stock 2006-12-13 4 S 0 700 57.11 D 140725 D Class A Common Stock 2006-12-13 4 S 0 700 57.12 D 140025 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 74294 74294 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 914080 914080 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 23531 23531 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 784 784 D Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 59922 59922 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 5992 5992 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 53215 53215 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 233080 233080 I See footnote 2001 Stock Option Grant (right to buy) 14.27 2006-12-13 4 M 0 45600 0 D 2003-03-08 2011-03-08 Class A Common 45600 0 D 2003 Stock Option Grant (right to buy) 15.50 2006-12-13 4 M 0 43200 0 D 2005-03-17 2013-03-17 Class A Common 86400 43200 D 2005 Stock Option Grant (right to buy) 31.75 2007-04-06 2015-04-06 Class A Common 40000 40000 D 2006 Stock Option Grant (right to buy) 46.37 2008-04-04 2016-04-04 Class A Common 40000 40000 D Charles Ratner Revocable Trust dated 7/17/1981. Charles Ratner 2001 Trust - dated 11/01/01. Trust holds 3,500 shares to split among children; son Adam has an interest in 874 shares. Held by spouse in an account at McDonald Investments. Illana Horowitz Ratner Trust - dated 12/29/92 (spouse). Charles Ratner 1986 Remainder Interest Trust - Albert Ratner is trustee; Charles Ratner retains an income interest for life. Beneficiaries are his children. The Max Ratner 1986 Family Trust dated 12/18/86 - Charles Ratner is Trustee along with his brother. General Partnership interest in RMS, Ltd. partnership a 10% shareholder. The Charles Ratner Revocable Trust Agreement dated 7/17/1981, as modified (Charles is settlor and co-trustee). RMS, Ltd. limited partnership interest. The Charles Ratner Revocable Trust Agreement dated 7/17/1981, as modified (Charles is settlor and co-trustee) FCE Management, L.P. interest as limited partner in RMS, Ltd. Charles Ratner 2001 Trust - dated 11/01/01 - FCE Management, L.P. interest as limited partner in RMS, Ltd. - total holdings of trust are 94,124, shares are split among children, son Adam has an interest in 23,531. Charles Ratner is Trustee (along with his brothers) of the Max Ratner 1986 Family Trust. (1/10 of this trust is for the benefit of Adam). Adam Ratner's (son) 1/10 interest in the Max Ratner 1986 Family Trust. Max Ratner 1988 Grandchildrens Trust - a limited partner in RMS, Ltd., for the benefit of Adam (son). Charles Ratner disclaims any beneficial interest. Max Ratner 1999 Irrevocable Trust - a limited partnership interest in FCE Management, L.P., a limited partner of RMS, Ltd., for the benefit of Adam (son). Charles Ratner disclaims any beneficial interest. 2001 Stock Option Grant - 25% exercisable 3/08/2003; 25% exercisable 3/08/2004; and 50% exercisable 3/08/2005. 2003 Stock Option Grant - 25% exercisable 3/17/05; 25% exercisable 3/17/06; and 50% exercisable 3/17/07. 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. 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. Class B Common shares are being moved to Table II since they are convertible at fixed price and thus treated as derivative securities. Filing 1 of 2 reporting transactions that took place on December 13, 2006. Geralyn M. Presti, Attorney-in-Fact for Charles A. Ratner 2006-12-15 EX-24 2 attach_1.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 Robert G. Gephart, Geralyn M. Presti 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, and any and all amendments 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 October 25, 2002. By: /s/ Charles A. Ratner Charles A. Ratner -----END PRIVACY-ENHANCED MESSAGE-----