-----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, TvXlzowjV95OrHjG1cUA7q0KNO+5tYgRwjk0X8SwkdGW3LA8YHJQvdWMogAVG8ly deC0ebxPkpEa7rJi7Rlamg== 0001217465-03-000002.txt : 20030421 0001217465-03-000002.hdr.sgml : 20030421 20030421162859 ACCESSION NUMBER: 0001217465-03-000002 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030417 FILED AS OF DATE: 20030421 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: RATNER RONALD A CENTRAL INDEX KEY: 0001217465 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4/A MAIL ADDRESS: STREET 1: 50 PUBLIC SQUARE SUITE 1100 CITY: CLEVELAND STATE: OH ZIP: 44113 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-04372 FILM NUMBER: 03657057 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/A 1 edgar.htm 4/A Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 OMB APPROVAL

    Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

OMB Number: 3235-0287
Expires: January 31, 2005
Estimated average burden
hours per response. . .0.5

Filed By
Romeo and Dye's
Section 16 Filer
www.section16.net

1. Name and Address of Reporting Person*

Ratner, Ronald A.

2. Issuer Name and Ticker or Trading Symbol
Forest City Enterprises, Inc. FCE A/FCE B

6. Relationship of Reporting Person(s)
to Issuer (Check all applicable)
X Director                                   X 10% Owner
X Officer (give title below)          Other (specify below)

Executive Vice President                          (1)

(Last)      (First)     (Middle)

50 Public Square, Suite 1100
 

3. I.R.S. Identification Number
of Reporting Person,
if an entity (voluntary)

 

4. Statement for
Month/Day/Year
4/17/03

(Street)

Cleveland, OH 44113

5. If Amendment,
Date of Original
(Month/Day/Year)
3/17/03(34)		 7. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
    Form filed by More than One Reporting Person

(City)     (State)     (Zip)

Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
(Instr. 3)

2. Trans-
action
Date
(Month/ Day/
Year)

2A. Deemed
Execution
Date,
if any
(Month/Day/
Year)

3. Trans-
action Code
(Instr. 8)

4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 & 5)

5. Amount of
Securities
Beneficially
Owned Follow-
ing Reported Transactions(s)
(Instr. 3 & 4)

6. Owner-
ship Form:
Direct (D)
or Indirect (I)
(Instr. 4)

7. Nature of Indirect
Beneficial Ownership
(Instr. 4)

Code

V

Amount

(A)
or
(D)

Price

Class B Common Stock

 

 

 

 

 

 

 

364,200

I

See footnote(2)

Class B Common Stock

 

 

 

 

 

 

 

47,262.45

I

See footnote(3)

Class A Common Stock

 

 

 

 

 

 

 

1,750

D

See footnote(3)

Class B Common Stock

 

 

 

 

 

 

 

392

D

 

Class B Common Stock

 

 

 

 

 

 

 

450

D

See footnote(4)

Class A Common Stock

 

 

 

 

 

 

 

554,645

I

See footnote(5)

Class A Common Stock

 

 

 

 

 

 

 

162,147

I

See footnote(6)

Class B Common Stock

 

 

 

 

 

 

 

57,338

I

See footnote(7)

Class A Common Stock

 

 

 

 

 

 

 

52,352

I

See footnote(8)

Class A Common Stock

 

 

 

 

 

 

 

52,353

I

See footnote(9)

Class B Common Stock

 

 

 

 

 

 

 

29,961

I

See footnote(10)

Class B Common Stock

 

 

 

 

 

 

 

2,996

I

See footnote(11)

Class B Common Stock

 

 

 

 

 

 

 

2,996

I

See footnote(12)

Class B Common Stock

 

 

 

 

 

 

 

450

I

See footnote(13)

Class B Common Stock

 

 

 

 

 

 

 

450

I

See footnote(14)

Class B Common Stock

 

 

 

 

 

 

 

60,856

I

See footnote(15)

Class B Common Stock

 

 

 

 

 

 

 

60,857

I

See footnote(16)

Class B Common Stock

 

 

 

 

 

 

 

49,506

I

See footnote(17)

Class B Common Stock

 

 

 

 

 

 

 

49,505

I

See footnote(18)

Class B Common Stock

 

 

 

 

 

 

 

172,755

I

See footnote(19)

Class B Common Stock

 

 

 

 

 

 

 

185,175

I

See footnote(20)

Class A Common Stock

 

 

 

 

 

 

 

25,873

I

See footnote(21)

Class A Common Stock

 

 

 

 

 

 

 

19,400

I

See footnote(22)

Class A Common Stock

 

 

 

 

 

 

 

13,200

I

See footnote(23)

Class A Common Stock

 

 

 

 

 

 

 

13,200

I

See footnote(24)

Class A Common Stock

 

 

 

 

 

 

 

21,882

I

See footnote(25)

Class A Common Stock

 

 

 

 

 

 

 

21,798

I

See footnote(26)

Class B Common Stock

 

 

 

 

 

 

 

117,111

I

See footnote(27)

Class B Common Stock

 

 

 

 

 

 

 

117,111

I

See footnote(28)
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number
FORM 4 (continued)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security

(Instr. 3)

2. Conver-
sion or
Exercise
Price of Derivative Security

3. Trans-
action Date

(Month/
Day/
Year)

3A. Deemed
Execution
Date,
if any
(Month/
Day/
Year)

4. Trans-
action
Code

(Instr. 8)

5. Number of Derivative Securities Acquired (A) or Disposed of (D)

(Instr. 3, 4 & 5)

6. Date Exercisable
and Expiration
Date
(Month/Day/
Year)

7. Title and Amount of Underlying Securities
(Instr. 3 & 4)

8. Price of Derivative Security
(Instr. 5)

9. Number of
Derivative
Securities
Beneficially
Owned
Following
Reported Transaction(s)
(Instr. 4)

10. Owner-
ship Form
of Deriv-
ative
Security:
Direct (D)
or Indirect (I)
(Instr. 4)

11. Nature of Indirect Beneficial Ownership
(Instr. 4)

Code

V

(A)

(D)

Date Exer-cisable

Expira-
tion
Date

Title

Amount or Number of
Shares

1996 Stock Option Grant (right to buy)

$9.583

 

 

 

 

 

 

9/09/98(29)

9/09/06

Class A Common

27,000

 

27,000

D

 

1998 Stock Option Grant (right to buy)

$19.00

 

 

 

 

 

 

3/17/00(30)

3/17/08

Class A Common

27,000

 

27,000

D

 

1999 Stock Option Grant (right to buy)

$14.917

 

 

 

 

 

 

4/07/01(31)

4/07/09

Class A Common

27,000

 

27,000

D

 

2001 Stock Option Grant (right to buy)

$28.533

 

 

 

 

 

 

3/08/03(32)

3/08/11

Class A Common

27,000

 

27,000

D

 

2003 Stock Option Grant (right to buy)

$31.00

4/17/03

 

M

 

27,000

 

3/17/05(33)

3/17/13

Class A Common

27,000

 

27,000

D

 

Explanation of Responses:

(1) Executive Vice President and Director of Forest City Enterprises, Inc.; general and limited partner of RMS, Ltd. (10% plus shareholder).
(2) The Ronald Ratner 1986 Trust Agreement , as modified (Ronald is Trustee); these shares are held by FCE Management, L.P. as a limited partner of RMS, Ltd. (limited partnership).
(3) Ronald Ratner 2001 Trust dated 11/01/01.
(4) RMS, Ltd. general partnership interest.
(5) The Ronald Ratner 1986 Trust Agreement, as modified (Ronald is Trustee).
(6) Deborah Ratner Trust - individual trust of spouse, shares are held in an account at McDonald Investments.
(7) Limited Partnership interest in RMS, Ltd.; held by son, Matthew.
( 8) Ronald Ratner 1986 Family Trust for the benefit of Matthew (son) - Ronald Ratner disclaims any beneficial interest.
(9) Ronald Ratner 1986 Family Trust for the benefit of Sarah (daughter) - Ronald Ratner disclaims any beneficial interest.
(10) Max Ratner 1986 Family trust - Ronald Ratner is a trustee (along with his brothers), and disclaims any beneficial interest.
(11) Max Ratner 1986 Family trust - for the benefit of Matthew (son); Ronald Ratner disclaims any beneficial interest.
(12) Max Ratner 1986 Family trust - for the benefit of Sarah (daughter); Ronald Ratner disclaims any beneficial interest.
(13) Ronald Ratner 1989 Irrevocable Trust for the benefit of Matthew (son).
(14) Ronald Ratner 1989 Irrevocable Trust for the benefit of Sarah (daughter).
(15) Ronald Ratner 1986 Family Trust for the benefit of Matthew (son) - RMS, Ltd. - limited partnership interest - Ronald Ratner disclaims any beneficial interest.
(16) Ronald Ratner 1986 Family Trust for the benefit of Sarah (daughter) - RMS, Ltd. - limited partnership interest - Ronald Ratner disclaims any beneficial interest.
(17) Ronald Ratner 1986 Family Trust for the benefit of Matthew (son) - FCE Management, L.P. - limited partnership interest - Ronald Ratner disclaims any beneficial interest.
(18) Ronald Ratner 1986 Family Trust for the benefit of Sarah (daughter) - FCE Management, L.P. - limited partnership interest - Ronald Ratner disclaims any beneficial interest.
(19) Max Ratner Grandchildrens Trust dated 12/21/1988 - for the benefit of Matthew (son) - RMS, Ltd., limited partnership interest - Ronald Ratner di sclaims any beneficial interest
(20) Max Ratner Grandchildrens Trust dated 12/21/1988 - for the benefit of Sarah (daughter) - RMS, Ltd., limited partnership interest - Ronald Ratner disclaims any beneficial interest
(21) Deborah Ratner, Trustee for the Irene Meldon 1998 Irrevocable Trust dated 12/04/1998.
(22) Ronald and Deborah Ratner Philanthropic Fund.
(23) Max Ratner Trust dated 1986 for the benefit of Matthew (son) - Ronald Ratner disclaims any beneficial interest.
(24) Max Ratner Trust dated 1986 for the benefit of Sarah (daughter) - Ronald Ratner disclaims any beneficial interest.
(25) Max Ratner Remainder Interest Trust dated 12/18/1986 - special allocation to the Ronald Ratner 1986 Family Trust - for the benefit of Matthew (son) - Ronald Ratner disclaims any be neficial interest.
(26) Max Ratner Remainder Interest Trust dated 12/18/1986 - special allocation to the Ronald Ratner 1986 Family Trust - for the benefit of Sarah (daughter) - Ronald Ratner disclaims any beneficial interest.
(27) Max Ratner 1999 Revocable Trust - Matthew (son) beneficiary. Ronald Ratner disclaims any beneficial interest.
(28) Max Ratner 1999 Revocable Trust - Sarah (daughter) beneficiary. Ronald Ratner disclaims any beneficial interest.
(29) 1996 Stock Option Grant - 25% exercisable 9/09/98; 25% exercisable 9/09/99; and 50% exercisable 9/09/00.
(30) 1998 Stock Option Grant - 25% exercisable 3/17/00; 33% exercisable 3/17/01; and 42% exercisable 3/17/02.
(31) 1999 Stock Option Grant - 25% exercisable 4/07/01; 25% exercisable 4/07/02; and 50% e xercisable 4/07/03.
(32) 2001Stock Option Grant - 25% exercisable 3/08/03; 25% exercisable 3/08/04; and 50% exercisable 3/08/05.
(33) 2003 Stock Option Grant - 25% exercisable 3/17/05; 25% exercisable 3/17/06; and 50% exercisable 3/17/07.
(34) Amending data that was on the Form 5 filed 3/17/03. Form was amended to remove the Ronald Ratner Trust dated 7/10/1951, this trust was dissolved and shares were moved to other trusts which are currently being reported by Ronald Ratner.
  By: /s/ Geralyn M. Presti
             Geralyn M. Presti, Attorney-In-Fact for Ronald A. Ratner, Executive Vice President and Director
**Signature of Reporting Person		 4/21/03
Date

**Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed.
          If space is insufficient, See Instruction 6 for procedure.

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

 

 
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 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/ Ronald A. Ratner
      Ronald A. Ratner
-----END PRIVACY-ENHANCED MESSAGE-----