-----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, KXc9kcYzMCbWZgdJdAThFsmqTnw1MIGcEMOzSkUkPwO+dllBNUYW1EcHIznPFamP su2eIz1JbcHj1oE5Zj4Bpw== 0001217465-09-000001.txt : 20090423 0001217465-09-000001.hdr.sgml : 20090423 20090423180049 ACCESSION NUMBER: 0001217465-09-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090421 FILED AS OF DATE: 20090423 DATE AS OF CHANGE: 20090423 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RATNER RONALD A CENTRAL INDEX KEY: 0001217465 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04372 FILM NUMBER: 09767561 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 X0303 4 2009-04-21 0000038067 FOREST CITY ENTERPRISES INC FCEA/FCEB 0001217465 RATNER RONALD A 50 PUBLIC SQUARE, SUIT 1100 CLEVELAND OH 44113 1 1 1 0 Executive Vice President Class A Common Stock 1750 I See footnote Class A Common Stock 908295 I See footnote Class A Common Stock 224294 I See footnote Class A Common Stock 22595 I See footnote Class A Common Stock 3396 I See footnote Class A Common Stock 26240 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 900 900 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 728401 728401 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 47263 47263 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 1800 1800 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 121713 121713 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 99011 99011 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 715860 715860 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 468444 468444 I See footnote 2003 Stock Option Grant (right to buy) 15.50 2005-03-17 2013-03-17 Class A Common 27000 27000 D 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 2009-04-21 4 A 0 21797 0 A 2011-04-21 2019-04-21 Class A Common 21797 21797 D 2008 Performance Shares 0 2012-01-31 1988-08-08 Class A Common Stock 19791 19791 D Ronald Ratner 2001 Trust dated, 11/01/01- for benefit of Sarah (daughter) . The Ronald Ratner 1986 Trust Agreement, as modified (Ronald is Trustee). 23,850 Shares held in direct account were transferred to the trust. Deborah Ratner Trust - individually trust of spouse, shares held in account at McDonald Investments. Ronald Ratner 1986 Family Trust - for the benefit of Sarah (daughter) - Ronald Ratner disclaims any beneficial interest. Deborah B. Ratner, Trustee of the Irene Meldon 1998 Irrevocable dated 12/04/1998 - 1,698 shares for benefit of Matthew (son), and 1,698 shares for benefit of Sarah (daughter) - Ronald Ratner disclaims any beneficial interest. Max Ratner Family Trust dated 12/18/1986 - for benefit of Sarah (daughter) - Ronald Ratner disclaims any beneficial interest. General Partnership interest in RMS, Ltd. partnership a 10% sharelholder. The Ronald Ratner 1986 Trust Agreement, as modified (Ronald is Trustee); these shares are held by FCE Management, LP as a limited partner of RMS, Ltd. (limited partnership). Ronald Ratner 2001 Trust dated, 11/01/01- for benefit of Sarah (daughter) . Max Ratner 1986 Family Trust for the benefit of Sarah Ratner (daughter) - Ronald Ratner disclaims any beneficial interest. 1989 Irrevocable Trust - 900 shares for the benefit of Matthew (son), and 900 shares for the benefit of Sarah (daughter). Ronald Ratner 1986 Family Trust - for the benefit of Sarah (daughter)- RMS, Ltd. - limited partnership interest - Ronald Ratner disclaims any beneficial interest. Ronald Ratner 1986 Family Trust - for the benefit of Sarah (daughter) - FCE Management, L.P., limited partnership interest - Ronald Ratner disclaims any beneficial interest. Max Ratner Grandchildren's Trust dated 12/21/1988 - for the benefit of Sarah (daughter) and for the benefit of Matthew (son) RMS, Ltd. - limited partnership interest. Share value changed to add back in Matthew's allocation, since Ron Ratner serves as a trust advisor. Shares had been previously reported but removed when Matthew was declared independent of his parents. Ronald Ratner disclaims any beneficial interest. Max Ratner Family 1999 Revocable Trust - for the benefit of Sarah Ratner (daughter). Share value changed to add back in Matthew's allocation, since Ron Ratner serves as a trust advisor. Shares had been previously reported but removed when Matthew was declared independent of his parents. Ronald Ratner disclaims any beneficial interest. 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 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. Performance Shares Award - granted 6/18/2008 - performance period is from May 1, 2008 to January 31, 2012. 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 175% of the number of Performance Shares granted. Fair market value on date of grant is $36.38 per share. There is no fixed expirationdate. 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 Ronald A. Ratner 2009-04-23 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/ Ronald A. Ratner Ronald A. Ratner -----END PRIVACY-ENHANCED MESSAGE-----