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) 03/17/2005 | ||||||||||||||||||||||||||
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 | 02/10/2004 | G | 380 | D | $0 | 477,579 | I | See footnote(1) | |||||||
Class A Common Stock | 04/06/2004 | G | 80 | D | $0 | 477,499 | I | See footnote(1) | |||||||
Class A Common Stock | 07/21/2004 | G | 415 | D | $0 | 477,084 | I | See footnote(1) | |||||||
Class A Common Stock | 08/09/2004 | G | 1,000 | D | $0 | 476,084 | I | See footnote(1) | |||||||
Class A Common Stock | 12/17/2004 | G | 27,100 | D | $0 | 448,984 | I | See footnote(1) | |||||||
Class A Common Stock | 12/20/2004 | G | 18,000 | D | $0 | 430,984 | I | See footnote(1) | |||||||
Class A Common Stock | 12/20/2004 | G | 400 | D | $0 | 430,584 | I | See footnote(1) | |||||||
Class A Common Stock | 12/22/2004 | G | 400 | D | $0 | 430,184 | I | See footnote(1) | |||||||
Class A Common Stock | 01/25/2005 | J(23) | 5,000 | D | $0 | 425,184 | I | See footnote(1) | |||||||
Class A Common Stock | 437 | I | See footnote(2) | ||||||||||||
Class A Common Stock | 2,102 | I | See footnote(3) | ||||||||||||
Class A Common Stock | 168,750 | I | See footnote(4) | ||||||||||||
Class A Common Stock | 350,103 | I | See footnote(5) | ||||||||||||
Class A Common Stock | 270,903 | I | See footnote(6) | ||||||||||||
Class A Common Stock | 13,120 | I | See footnote(7) | ||||||||||||
Class A Common Stock | 16,411 | I | See footnote(8) | ||||||||||||
Class A Common Stock | 131,201 | I | See footnote(9) | ||||||||||||
Class A Common Stock | 01/25/2005 | J(23) | 5,000 | A | $0 | 44,930 | D | ||||||||
Class A Common Stock | 01/25/2005 | G | 5,000 | D | $0 | 44,650 | D |
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(22) | 08/08/1988(22) | 08/08/1988(22) | Common Stock | 450 | 450 | D(10) | |||||||
Class B Common - Convertible | $0(22) | 08/08/1988(22) | 08/08/1988(22) | Common Stock | 37,147 | 37,147 | I | See footnote(11) | ||||||
Class B Common - Convertible | $0(22) | 08/08/1988(22) | 08/08/1988(22) | Common Stock | 458,415 | 458,415 | I | See footnote(12) | ||||||
Class B Common - Convertible | $0(22) | 08/08/1988(22) | 08/08/1988(22) | Common Stock | 47,061.74 | 47,061.74 | I | See footnote(13) | ||||||
Class B Common - Convertible | $0(22) | 08/08/1988(22) | 08/08/1988(22) | Common Stock | 392 | 392 | D | |||||||
Class B Common - Convertible | $0(22) | 08/08/1988(22) | 08/08/1988(22) | Common Stock | 29,961 | 29,961 | I | See footnote(14) | ||||||
Class B Common - Convertible | $0(22) | 08/08/1988(22) | 08/08/1988(22) | Common Stock | 2,996 | 2,996 | I | See footnote(15) | ||||||
Class B Common - Convertible | $0(22) | 08/08/1988(22) | 08/08/1988(22) | Common Stock | 26,608 | 26,608 | I | See footnote(16) | ||||||
Class B Common - Convertible | $0(22) | 08/08/1988(22) | 08/08/1988(22) | Common Stock | 116,540 | 116,540 | I | See footnote(17) | ||||||
1998 Stock Option Grant (right to buy) | $19 | 03/18/2000(18) | 03/18/2008 | Class A Common | 43,200 | 43,200 | D | |||||||
1999 Stock Option Grant (right to buy) | $14.917 | 04/08/2001(19) | 04/08/2009 | Class A Common | 11,400 | 11,400 | D | |||||||
2001 Stock Option Grant (right to buy) | $28.533 | 03/08/2003(20) | 03/08/2011 | Class A Common | 43,200 | 43,200 | D | |||||||
2003 Stock Option Grant (right to buy) | $31 | 03/17/2005(21) | 03/17/2013 | Class A Common | 43,200 | 43,200 | D |
Explanation of Responses: |
1. Charles Ratner Revocable Trust dated 7/17/1981. |
2. Charles Ratner 2001 Trust - dated 11/01/01. Trust holds 1,750 shares to split among children; son Adam has an interest in 437 shares. |
3. Held by spouse in an account at McDonlad Investments. |
4. Illana Horowitz Ratner Trust - dated 12/29/92 (spouse). |
5. The Max Ratner 1986 Remainder Interest Trust - Charles Ratner (along with his brother) is a trustee. Charles Ratner disclaims benefical interest. |
6. Chalres Ratner 1986 Remainder Interest Trust - Albert Ratner is trustee; Charles Ratner retains an income interest for life. Beneficiaries are his children. |
7. Max Ratner 1986 Family Trust dated 12/18/1986 for the benefit of Adam (son). Chalres Ratner disclaims any beneficial interest. |
8. Max Ratner Remainder Interest Trust - for the benefit of Adam (son). Chalres Ratner disclaims any beneficial interest. |
9. The Max Ratner 1986 Family Trust dated 12/18/86 - Charles Ratner is Trustee along with his brother. |
10. General Partnership interest in RMS, Ltd. limited partnership. |
11. The Charles Ratner Revocable Trust Agreement dated 7/17/1981, as modified (Charles is settlor and co-trustee). RMS, Ltd. limited partnership interest. |
12. The Charles Ratner Revocable Trust Agreement dated 7/17/1981, as modified (Charles is settlor and co-trustee) FCE Management, L.P. interest as limited partner in RMS, Ltd. |
13. Charles Ratner 2001 Trust - dated 11/01/01. FCE Management, L.P. interest as limited partner in RMS, Ltd. |
14. Charles Ratner is Trustee (along with his brothers) of the Max Ratner 1986 Family Trust. (1/10 of this trust is for the benefit of Adam). |
15. Adam Ratner's (son) 1/10 interest in the Max Ratner 1986 Family Trust. |
16. Max Ratner 1988 Grandchildrens Trust - a limited partner in RMS, Ltd., for the benefit of Adam (son). Chalres Ratner disclaims any beneficial interest. |
17. Max Ratner 1999 Irrevocable Trust - a limited partnership interest in FCE Management, L.P., a limited partner of RMS, Ltd., for the benefit of Adam (son). Chalres Ratner disclaims any beneficial interest. |
18. 1998 Stock Option Grant - 25% exercisable 3/18/2000; 33% exercisable 3/18/2001; and 42% exercisable 3/18/02. |
19. 1999 Stock Option Grant - 25% exercisable 4/08/2001; 25% exercisable 4/08/2002; and 50% exercisable 4/08/2003. |
20. 2001 Stock Option Grant - 25% exercisable 3/08/2003; 25% exercisable 3/08/2004; and 50% exercisable 3/08/2005. |
21. 2003 Stock Option Grant - 25% exercisable 3/17/05; 25% exercisable 3/17/06; and 50% exercisable 3/17/07. |
22. 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. |
23. Transfered 5,000 shares form the Charles Ratner Revocable Trust dated 7/17/1981 to personal account 1/25/05. |
Remarks: |
Geralyn M. Presti, Attorney-in-Fact for Charles A. Ratner | 03/17/2005 | |
** 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. |