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) 03/15/2004 | ||||||||||||||||||||||||||
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 B Common Stock | 364,200 | I | See footnote(1) | ||||||||||||
Class B Common Stock | 47,262.45 | I | See footnote(2) | ||||||||||||
Class A Common Stock | 1,750 | D | (2) | ||||||||||||
Class B Common Stock | 392 | D | |||||||||||||
Class B Common Stock | 450 | D | (3) | ||||||||||||
Class A Common Stock | 12/10/2003 | G | 6,500 | D | $0 | 548,145 | I | See footnote(4) | |||||||
Class A Common Stock | 12/30/2003 | G | 458 | D | $0 | 547,687 | I | See footnote(4) | |||||||
Class A Common Stock | 162,147 | I | See footnote(5) | ||||||||||||
Class B Common Stock | 57,338 | I | See footnote(6) | ||||||||||||
Class A Common Stock | 52,352 | I | See footnote(7) | ||||||||||||
Class A Common Stock | 52,353 | I | See footnote(8) | ||||||||||||
Class B Common Stock | 29,961 | I | See footnote(9) | ||||||||||||
Class B Common Stock | 2,996 | I | See footnote(9) | ||||||||||||
Class B Common Stock | 2,996 | I | See footnote(9) | ||||||||||||
Class B Common Stock | 450 | I | See footnote(10) | ||||||||||||
Class B Common Stock | 450 | I | See footnote(11) | ||||||||||||
Class B Common Stock | 60,856 | I | See footnote(12) | ||||||||||||
Class B Common Stock | 60,857 | I | See footnote(13) | ||||||||||||
Class B Common Stock | 49,506 | I | See footnote(14) | ||||||||||||
Class B Common Stock | 49,505 | I | See footnote(15) | ||||||||||||
Class B Common Stock | 172,755 | I | See footnote(16) | ||||||||||||
Class B Common Stock | 185,175 | I | See footnote(17) | ||||||||||||
Class A Common Stock | 25,873 | I | See footnote(18) | ||||||||||||
Class A Common Stock | 13,200 | I | See footnote(19) | ||||||||||||
Class A Common Stock | 13,200 | I | See footnote(20) | ||||||||||||
Class A Common Stock | 21,882 | I | See footnote(21) | ||||||||||||
Class A Common Stock | 21,798 | I | See footnote(22) | ||||||||||||
Class B Common Stock | 117,111 | I | See footnote(23) | ||||||||||||
Class B Common Stock | 117,111 | I | See footnote(24) |
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 | |||||||||
1996 Stock Option Grant (right to buy) | $9.583 | 09/10/1998(25) | 09/10/2006 | Class A Common | 27,000 | 27,000 | D | |||||||
1998 Stock Option Grant (right to buy) | $19 | 03/18/2000(26) | 03/18/2008 | Class A Common | 27,000 | 27,000 | D | |||||||
1999 Stock Option Grant (right to buy) | $14.917 | 04/08/2001(27) | 04/08/2009 | Class A Common | 27,000 | 27,000 | D | |||||||
2001 Stock Option Grant (right to buy) | $28.533 | 03/08/2003(28) | 03/08/2011 | Class A Common | 27,000 | 27,000 | D | |||||||
2003 Stock Option Grant (right to buy) | $31 | 03/17/2005(29) | 03/17/2013 | Class A Common Stock | 27,000 | 27,000 | D |
Explanation of Responses: |
1. 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). |
2. Ronald Ratner 2001 Trust dated, 11/01/01. |
3. RMS, Ltd. general partnership interest. |
4. The Ronald Ratner 1986 Trust Agreement, as modified (Ronald is Trustee) |
5. Deborah Ratner Trust - individually trust of spouse, shares held in account at McDonald Investments. |
6. Limited partnership interest in RMS, Ltd. held by son, Matthew. |
7. Ronald Ratner 1986 Family Trust for the benefit of Matthew (son) - Ronald Ratner disclaims any beneficial interest. |
8. Ronald Ratner 1986 Family Trust for the benefit of Sarah (daughter) - Ronald Ratner disclaims any beneficial interest. |
9. Max Ratner 1986 Family Trust - Ronald Ratner is a Trustee (along with his brothers), and disclaims any beneficial interest. Matthew and Sarah each have a 1/10th beneifical interest (2,996 shares). |
10. 1989 Irrevocable Trust for the benefit of Matthew (son). |
11. 1989 Irrevocable Trust for the benefit of Sarah (daughter). |
12. Ronald Ratner 1986 Family Trust for the benefit of Matthew (son) - RMS, Ltd. - limited partnership interest - Ronald Ratner disclaims any beneficial interest. |
13. Ronald Ratner 1986 Family Trust for the benefit of Sarah (daughter) - RMS, Ltd. - limited partnership interest - Ronald Ratner disclaims any beneficial interest. |
14. Ronald Ratner 1986 Family Trust for the benefit of Matthew (son) - FCE Management, L.P., limited partnership interest - Ronald Ratner disclaims any beneficial interest. |
15. Ronald Ratner 1986 Family Trust for the benefit of Sarah (daughter) - FCE Management, L.P., limited partnership interest - Ronald Ratner disclaims any beneficial interest. |
16. Max Ratner Grandchildren's Trust dated 12/21/1988 - for the benefit of Matthew (son) - RMS, Ltd. - limited partnership interest. - Ronald Ratner dsiclaims any beneficial interest. |
17. Max Ratner Grandchildren's Trust dated 12/21/1988 - for the benefit of Sarah (daughter) - RMS, Ltd. - limited partnership interest. - Ronald Ratner dsiclaims any beneficial interest. |
18. Deborah B. Ratner, Trustee of the Irene Meldon 1998 Irrevocable dated 12/04/1998. |
19. Max Ratner Family Trust dated 12/18/1986 for benefit of Matthew (son) - Ronald Ratner disclaims any beneficial interest. |
20. Max Ratner Family Trust dated 12/18/1986 for benefit of Sarah (daughter) - Ronald Ratner disclaims any beneficial interest. |
21. Max Ratner Remainder Interest Trust - special allocation to Ronald Ratner 1986 FamilyTrust - for the benefit of Matthew (son). Ronald Ratner disclaims any beneficial interest. |
22. Max Ratner Remainder Interest Trust - special allocation to Ronald Ratner 1986 FamilyTrust - for the benefit of Sarah (daughter). Ronald Ratner disclaims any beneficial interest. |
23. Max Ratner Family 1999 Revocable Trust - Matthew (son) beneficiary. Ronald Ratner disclaims any beneficial interest. |
24. Max Ratner Family 1999 Revocable Trust - Sarah (daughter) beneficiary. Ronald Ratner disclaims any beneficial interest. |
25. 1996 Stock Option Grant - 25% exercisable 9/10/98; 25% exercisable 9/10/99; and 50% exercisable 9/10/00. |
26. 1998 Stock Option Grant - 25% exercisable 3/18/00; 33% exercisable 3/18/01; and 42% exercisable 3/18/02. |
27. 1999 Stock Option Grant - 25% exercisable 4/08/01; 25% exercisable 4/08/02; and 50% exercsiable 4/08/03. |
28. 2001 Stock Option Grant - 25% exercisable 3/08/03; 25% exercisable 3/08/04; and 50% exercisable 3/08/05. |
29. 2003 Stock Option Grant - 25% exercisable 3/17/05; 25% exercisable 3/17/06; and 50% exercisable 3/17/07. |
Remarks: |
Geralyn M. Presti, Attorney-in-Fact for Ronald A. Ratner | 03/15/2004 | |
** 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. |