-----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, SY+tq64DroZ+lmTdp8js8XUv82YSWEHTay+2e4Av3jDZ+0dNo8CfgsNttGC0AoB7 0fIkvB3su3neGIKSnLRhiQ== 0001217464-04-000002.txt : 20041019 0001217464-04-000002.hdr.sgml : 20041019 20041019172003 ACCESSION NUMBER: 0001217464-04-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20041015 FILED AS OF DATE: 20041019 DATE AS OF CHANGE: 20041019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RATNER JAMES A CENTRAL INDEX KEY: 0001217464 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04372 FILM NUMBER: 041085988 MAIL ADDRESS: STREET 1: 50 PUBLIC SQUARE SUITE 1100 CITY: CLEVELAND STATE: OH ZIP: 44113 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 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2004-10-15 0000038067 FOREST CITY ENTERPRISES INC FCEA/FCEB 0001217464 RATNER JAMES A 50 PUBLIC SQUARE, SUITE 1100 CLEVELAND OH 44113 1 1 1 0 Executive Vice President Class A Common Stock 684164 I See footnote Class A Common Stock 1750 I See footnote Class A Common Stock 350103 I See footnote Class A Common Stock 6097 I See footnote Class A Common Stock 51941 I See footnote Class A Common Stock 10800 I See footnote Class A Common Stock 17730 I See footnote Class A Common Stock 13120 I See footnote Class A Common Stock 43763 I See footnote Class A Common Stock 130201 I See footnote Class A Common Stock 2004-10-15 4 M 0 27000 9.583 A 27000 D Class A Common Stock 2004-10-15 4 M 0 20250 14.917 A 47250 D Class A Common Stock 2004-10-15 4 S 0 22111 54.9146 D 25139 D Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 392 392 D Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 328587 328587 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 44769.1 44769.1 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 29961 29961 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 68559 68559 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 48177 48177 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 30553 30553 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 27675 27675 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 2996 2996 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 100599 100599 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 130117 130117 I See footnote 1996 Stock Option Grant (right to buy) 9.583 2004-10-15 4 M 0 27000 9.583 D 1998-09-10 2006-09-10 Class A Common 27000 0 D 1998 Stock Option Grant (right to buy) 19.00 2000-03-18 2008-03-18 Class A Common 27000 27000 D 1999 Stock Option Grant (right to buy) 14.917 2004-10-15 4 M 0 20250 14.917 D 2001-04-08 2009-04-08 Class A Common 27000 6750 D 2001 Stock Option Grant (right to buy) 28.533 2003-03-08 2011-03-08 Class A Common 27000 27000 D 2003 Stock Option Grant (right to buy) 31.00 2005-03-17 2013-03-17 Class A Common 27000 27000 D James Ratner Revocable Trust dated 12/04/1981. James Ratner 2001 Trust. Max Ratner 1986 Remainder Interest Trust - James Ratner is a trustee (along with his brothers) Held by spouse at street account with McDonald Investment. James Ratner 1986 Family Trust for the benefit of Daniel (son). James Ratner disclaims any beneficial interest. Daniel G. Ratner Trust II - 12/05/1983 Daniel G. Ratner 1993 Trust. Max Ratner 1986 Family Trust dated 12/18/1986 - for the benefit of Daniel (son). Max Ratner Remainder Interest Trust - for the benefit of Daniel (son). Max Ratner 1986 Family Trust - dated 12/18/86, James Ratner is trustee along with his brother. Held as a limited partner in FCE Management, L.P., a limited partnership that is a limited partner in RMS, Ltd. James Ratner 2001 Trust. Max Ratner 1986 Family Trust - held as a limited partner of RMS, Ltd., James Ratner is a trustee, along with his brothers. James Ratner disclaims any beneficial interest. James Ratner 1986 Family Trust - limited partnership interest in FCE Management, L.P. a limited partner of RMS, Ltd., limited partnership; for the benefit of Daniel Ratner (son). James Ratner disclaims any beneficial interest. Daniel Ratner (son) limited partner interest in RMS, Ltd., limited partnership. James Ratner disclaims any benefical interest. James Ratner 1986 Family Trust - trust is a limited partner in RMS, Ltd. a limited partnership; for the benefit of Daniel Ranter (son). James Ratner disclaims any benefical interest. Daniel G. Ratner Trust II - 12/05/1983 Max Ratner Family Trust - for the benefit of Daniel (son). James Ratner disclaims any beneficial interest. Max Ratner 1988 Grandchildren's Trust - for the benefit of Daniel (son). James Ratner disclaims any beneficial interest. Max Ratner 1999 Family Revocable Trust - for the benefit of Daniel (son). James Ratner disclaims any beneficial interest. 1996 Stock Option Grant - 25% exercisable 9/10/1998; 25% exercisable 9/10/1999; and 50% exercisable 9/10/00. 1998 Stock Option Grant - 25% exercisable 3/18/2000; 33% exercisable 3/18/2001; and 42% exercisable 3/18/02. 1999 Stock Option Grant - 25% exercisable 4/08/2001; 25% exercisable 4/08/2002; and 50% exercisable 4/08/2003. 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. 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. Geralyn M. Presti, Attorney-in-Fact for James A. Ratner 2004-10-19 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/ James A. Ratner James A. Ratner -----END PRIVACY-ENHANCED MESSAGE-----