0001217466-14-000017.txt : 20141002
0001217466-14-000017.hdr.sgml : 20141002
20141002142511
ACCESSION NUMBER: 0001217466-14-000017
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20141001
FILED AS OF DATE: 20141002
DATE AS OF CHANGE: 20141002
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: RATNERSALZBERG DEBORAH
CENTRAL INDEX KEY: 0001217466
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04372
FILM NUMBER: 141135846
MAIL ADDRESS:
STREET 1: 301 WATER ST SE SUITE 201
CITY: WASHINGTON
STATE: DC
ZIP: 20003
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2014-10-01
0000038067
FOREST CITY ENTERPRISES INC
FCEA/FCEB
0001217466
RATNERSALZBERG DEBORAH
301 WATER ST SE SUITE 201
WASHINGTON
DC
20003
1
1
1
0
Executive Vice President
Class A Common Stock
2014-10-01
4
S
0
6000
19.4369
D
544773
I
See footnote
Class A Common Stock
44135
I
See footnote
Class A Common Stock
13465
I
See footnote
Class A Common Stock
163418
I
See footnote
Class A Common Stock
432257
I
See footnote
Class A Common Stock
3676
I
See footnote
Class A Common Stock
7352
I
See footnote
Class A Common Stock
7352
I
See footnote
Class A Common Stock
2891
D
Class A Common Stock
5966
D
Class A Common Stock
6866
D
Class A Common Stock
6629
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
180
180
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
100000
100000
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
148800
148800
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
782666
782666
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
5040
5040
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
33834
33834
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
33514
33514
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
58392
58392
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
179140
179140
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
515489
515489
I
See footnote
2005 Stock Option Grant (right to buy)
31.75
2007-04-06
2015-04-06
Class A Common
15000
15000
D
2006 Stock Option Grant (right to buy)
46.37
2008-04-04
2016-04-04
Class A Common
15000
15000
D
2007 Stock Option Grant (right to buy)
65.35
2009-03-29
2017-03-29
Class A Common
15000
15000
D
2008 Stock Option Grant (right to buy)
36.38
2010-06-18
2018-06-18
Class A Common
9599
9599
D
2009 Stock Option Grant (right to buy)
7.80
2011-04-21
2019-04-21
Class A Common
4800
4800
D
2010 Stock Option Grant (right to buy)
15.89
2012-04-14
2020-04-14
Class A Common
8002
8002
D
2011 Stock Option Grant (right to buy)
17.72
2013-04-13
2021-04-13
Class A Common
9146
9146
D
2012 Performance Shares
0
2015-12-31
1988-08-08
Class A Common
7954
7954
D
2013 Performance Shares
0
2016-12-31
1988-08-08
Class A Common
6504
6504
D
2014 Performance Shares
0
2017-12-31
1988-08-08
Class A Common
6629
6629
D
U/A Deborah Ratner-Salzberg Trust dated 2/09/1987. The price $19.4369 represents a weighed average of sales prices ranging from $19.38 per share to $19.65 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.
Michael Salzberg (spouse) shares held directly in street accounts.
Albert B. Ratner 1989 Grandchildren's Trust - for the Benefit of Anna Salzberg (daughter) 83,603 and Eric Salzberg (son) 79,815. Deborah Ratner-Salzberg disclaims any beneficial interest.
Albert Ratner Remainder Interest Trust - for the benefit of Anna Salzberg (daughter) 216,128 Class A shares & 50,000 Class B shares, and Eric Salzberg (son) 216,129 Class A shares & 50,000 Class B shares. Deborah Ratner-Salzberg disclaims any beneficial interest.
Albert B. Ratner 1986 Grandchildren's Trust - for the benefit of Anna Salzberg (daughter).
Albert B. Ratner 1987 Family Trust - (Class B shares are held as a limited partner in RMS, Ltd.) for the benefit of Eric Salzberg (son). Deborah Ratner-Salzberg disclaims any beneficial interest.
Albert B. Ratner 1999 Revocable Trust- 515,489 Class B shares are held as a limited partnership interest in FCE Management, L.P. limited partner of RMS, Ltd.; 255,222 shares for the benefit of Anna Salzberg (daughter), and 260,267 shares for the benefit of Eric Salzberg (son). Deborah Ratner-Salzberg disclaims any benefical interest. Deborah Ratner serves as an advisor to the trust. 7,352 Class A shares (3,676 - Anna & 3,676 - Eric) are not held as a limited partnership interest in FCE Management, LP.
2011 Restricted Stock Grant - 25% vest on 4/13/2013; 25% vest on 4/13/2014; and 50% vest on 4/13/2015.
2012 Restricted Stock Grant - 25% vest on 4/11/2014; 25% vest on 4/11/2015; and 50% vest on 4/11/2016.
2013 Restricted Stock Grant - 25% vest on 4/08/2015; 25% vest on 4/08/2016; and 50% vest on 4/08/2017.
2014 Restricted Stock Grant - 0% vest on 3/28/2015; 25% vest on 3/28/2016; 25% vest on 3/28/2017; and 50% vest on 3/28/2018.
General Partnership interest in RMS, Ltd., an Ohio limited partnership.
U/A Deborah Ratner-Salzberg Trust dated 2/09/1987 - limited partnership interest in RMS, Ltd. limited partnership. 378,822 shares are held as a direct limited partner of RMS, Ltd and 403,844 shares are held as a limited partnersip interest in FCE Management, LP (a limited partner of RMS, Ltd.).
Anna Salzberg (daughter), shares are held in street account at UBS Financial Services as limited partner in RMS, Ltd. Deborah Ratner-Salzberg disclaims any benefical interest.
Albert B. Ratner 1989 Grandchildren's Trust - for the benefit of Anna Salzberg (daughter). Deborah Ratner-Salzberg disclaims any beneficial interest.
Albert B. Ratner 1989 Grandchildren's Trust - for the benefit of Eric Salzberg (son). Deborah Ratner-Salzberg disclaims any beneficial interest.
Albert B. Ratner 1989 Grandchildrens Trust - limited partnership interest in FCE Management, L.P. limited partner of RMS, Ltd., 44,367 shares are for the benefit of Anna Salzberg (daughter) and 134,773 shares are for the benefit of Eric Salzberg (son). Deborah Ratner-Salzberg disclaims any benefical interest.
2005 Stock Option Grant - 25% exercisable 4/06/2007; 25% exercisable 4/06/2008; and 50% exercisable 4/06/2009. 2006 Stock Option Grant - 25% exercisable 4/04/2008; 25% exercisable 4/04/2009; and 50% exercisable 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.
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.
Sales in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person (trust) on December 19, 2013.
Geralyn M. Presti, Attorney-In-Fact for Deborah Ratner-Salzberg
2014-10-02
EX-24
2
poa-drs.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\ Deborah Ratner Salzberg
Deborah Ratner Salzberg