FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
FOREST CITY ENTERPRISES INC [ FCEA/FCEB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 01/31/2007 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Class A Common Stock | 10,000 | I | See footnote(1) | ||||||||||||
Class A Common Stock | 12/21/2006 | G | 26,000 | A | $0 | 26,000 | I | See footnote(2) | |||||||
Class A Common Stock | 1,264,514 | I | See footnote.(3) | ||||||||||||
Class A Common Stock | 2,163.9584 | I | 401k Plan(4) | ||||||||||||
Class A Common Stock | 10/26/2006 | G | 890 | D | $0 | 305,246 | I | See footnote(5) | |||||||
Class A Common Stock | 12/11/2006 | G | 2,000 | D | $0 | 303,246 | I | See footnote(5) | |||||||
Class A Common Stock | 12/21/2006 | G | 26,000 | D | $0 | 277,246 | I | See footnote(5) | |||||||
Class A Common Stock | 01/23/2007 | G | 200 | D | $0 | 277,046 | I | See footnote(5) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Class B Common - Convertible | $0(10) | 10/26/2006 | G | 4,209 | 08/08/1988(10) | 08/08/1988(10) | Common Stock | 437,731 | $0 | 433,522 | I | See footnote(6) | ||
Class B Common - Convertible | $0(10) | 08/08/1988(10) | 08/08/1988(10) | Common Stock | 1,000,000 | 1,000,000 | I | See footnote(7) | ||||||
Class B Common - Convertible | $0(10) | 08/08/1988(10) | 08/08/1988(10) | Common Stock | 900 | 900 | I | See footnote(8) | ||||||
Class B Common - Convertible | $0(10) | 08/08/1988(10) | 08/08/1988(10) | Common Stock | 6,713.599 | 6,713.599 | I | See footnote(9) |
Explanation of Responses: |
1. Audrey G. Ratner, trustee, under declaration of Trust dated June 15, 1993. |
2. Audrey G. Ratner - shares held in street account. |
3. Held in the 1986 Remainder Interest Trust (Albert Ratner retains an income interest for life. Trustees are Charles Ratner and James Ratner. |
4. 401k Plan - Class A Common shares - change in value due to regular contributions and required distributions over the course of the year, also reporting in unitized share increments. |
5. Albert B. Ratner Revocable Trust dated 12/18/1987. 6,000 shares were transferred from street account to the trust. |
6. FCE Mangement, L.P. (a limited partner of RMS, Ltd.) - held by Albert B. Ratner Revocable Trust dated 12/18/1987 a limited partner. Share value adjusted for fractional shares. |
7. RMS, Ltd - held by Albert B. Ratner Revocable Trust dated 12/18/1987 a limited partner. |
8. Held by spouse. |
9. 401k Plan - Class B Common shares - change in value due to required distributions over the course of the year and reporting in unitized share increments. |
10. 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. |
Remarks: |
Geralyn M. Presti, Attorney-In-Fact for Albert B. Ratner | 03/19/2007 | |
** Signature of Reporting Person | Date | |
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). | ||
** 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. |