0001217464-14-000007.txt : 20140627
0001217464-14-000007.hdr.sgml : 20140627
20140624181301
ACCESSION NUMBER: 0001217464-14-000007
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140623
FILED AS OF DATE: 20140624
DATE AS OF CHANGE: 20140624
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 JAMES A
CENTRAL INDEX KEY: 0001217464
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04372
FILM NUMBER: 14938371
MAIL ADDRESS:
STREET 1: 50 PUBLIC SQUARE SUITE 1100
CITY: CLEVELAND
STATE: OH
ZIP: 44113
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2014-06-23
0000038067
FOREST CITY ENTERPRISES INC
FCEA/FCEB
0001217464
RATNER JAMES A
50 PUBLIC SQUARE, SUITE 1100
CLEVELAND
OH
44113
0
1
1
0
Executive Vice President
Class A Common Stock
319239
I
See footnote
Class A Common Stock
95694
I
See footnote
Class A Common Stock
217328
I
See footnote
Class A Common Stock
2014-06-23
4
S
0
91838
19.758
D
0
I
See footnote
Class A Common Stock
26240
I
See footnote
Class A Common Stock
2014-06-23
4
S
0
100000
19.754
D
112525
I
See footnote
Class A Common Stock
2540
D
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
556833
556833
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
484695
484695
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
5992
5992
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
260235
260235
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
260235
260235
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
38451
38451
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
James Ratner Revocable Trust dated 12/04/1981.
Held by spouse at street account with McDonald Investment.
Austin G. Ratner 1992 Trust - James A. Ratner (father) is trust advisor. James Ratner disclaims any beneficial interest.
Daniel G. Ratner 1993 Trust - James A. Ratner (father) is trust advisor. James Ratner disclaims any beneficial interest. The price $19.75825 represents a weighed average of sales prices ranging from $19.74 per share to $19.80 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.
Max Ratner 1986 Family Trust for the Benefit of Daniel Ratner (adult child of James Ratner) - James Ratner is trustee. James Ratner disclaims any beneficial interest.
Max Ratner 1988 Grandchildren's Trust for the Benefit of Daniel Ratner (adult child of James Ratner) - James Ratner is trustee. James Ratner disclaims any beneficial interest. The price $19.75401 represents a weighed average of sales prices ranging from $19.74 per share to $19.80 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.
2011 Restricted Stock Grant - 25% vest on 4/13/2013; 25% vest on 4/13/2014; and 50% vest on 4/13/2015.
James Ratner Revocable Trust dated 12/04/1981. Held as a limited partnership interest in FCE Management, L.P., a limited partnership that is a limited partner in RMS, Ltd.
James Ratner Revocable Trust dated 12/04/1981. Held as a limited partnership interest in RMS, Ltd.
Max Ratner 1986 Family Trust for the benefit of Austin Ratner (son) - James Ratner is Trustee. James Ratner disclaims any beneficial interest.
Max Ratner Family 1999 Irrev .Trust for the benefit of Austin Ratner (son) - James Ratner is Trustee. James Ratner disclaims any beneficial interest.
Max Ratner Family 1999 Irrev .Trust for the benefit of DanielRatner (son) - James Ratner is Trustee. James 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.
Geralyn M. Presti, Attorney-in-Fact for James A. Ratner
2014-06-24
EX-24
2
poa-jratner.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\ James A. Ratner
James A. Ratner