-----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, TF855nZW5h5341AlV9LSw2CQ8zvtbgUFT1NArxU9nGQFyBZe4dE2kxfC44kAwfv4 fZziuK9cfl5gsRWf2O2uqQ== 0001217462-07-000004.txt : 20070713 0001217462-07-000004.hdr.sgml : 20070713 20070713124246 ACCESSION NUMBER: 0001217462-07-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20070713 FILED AS OF DATE: 20070713 DATE AS OF CHANGE: 20070713 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RATNER BRIAN J CENTRAL INDEX KEY: 0001217462 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04372 FILM NUMBER: 07978085 MAIL ADDRESS: STREET 1: 50 PUBLIC SQUARE 1100 CITY: CLEVELAND STATE: OH ZIP: 44113 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-07-13 0000038067 FOREST CITY ENTERPRISES INC FCEA/FCEB 0001217462 RATNER BRIAN J 50 PUBLIC SQUARE, SUITE 1100 CLEVELAND OH 44113 1 1 1 0 Executive Vice President Class A Common Stock 2007-07-13 4 S 0 39000 61.50 D 887408 I See footnote Class A Common Stock 3500 I See foot note Class A Common Stock 36800 I See foot note Class A Common Stock 3192 I See foot note Class A Common Stock 532257 I See foot note Class A Common Stock 416 I See foot note 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 226830 226830 I See foot note Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 94566 94566 I See foot note Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 319914 319914 I See foot note Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 110712 110712 I See foot note Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 26580 26580 I See foot note Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 12810 12810 I See foot note Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 58392 58392 I See foot note Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 35238 35238 I See foot note Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 228600 228600 I See foot note Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 182090 182090 I See foot note Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 86396 86396 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 370519 370519 I See foot note 2003 Stock Option Grant (right to buy) 15.50 2005-03-17 2013-03-17 Class A Common 16200 16200 D 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 Brian Ratner Revocable Trust dated 8/18/1986. Brian Ratner Trust dated 1/15/58 dissolved the shares were transferred to this trust. Brian Ratner 2001 Trust dated 11/01/01- 1,750 shares for the benefit of David (son) and 1,750 shares for the benefit of Emily (daughter). Emily Ratner (daughter) shares held directly by custodian Brian J. Ratner (father). Albert B. Ratner 1989 Grand Childrens Trust - 1,596 shares for the benefit of David (son), and 1,596 shares for the benefit of Emily (daughter). Albert B. Ratner 1986 Remainder Interest Trust - 266,129 shares for the benefit of David (son), and 266,128 shares for the benefit of Emily (daughter). Brian Ratner disclaims any beneficial interest. Accounts at Fidelity in the names of children - 208 shares in the account of David (son), and 208 shares in the account of Emily (daughter). General Partnership interest in RMS, Ltd. partnership a 10% sharelholder. Brian Ratner Trust dated 1/15/1958 - limited partnership interest in FCE Management, L.P. a limited partner of RMS, Ltd. Brian Ratner 2001 Trust dated 11/01/01 - 47,283 shares for the benefit of David (son), and 47,283 shares for the benefit of Emily (daughter). Albert Ratner 1989 Grandchildren Trust - 159,256 shares for the benefit of David (son), and 159,256 shares for the benefit of Emily (daughter) as a limited partner of FCE Managment, L.P., a limited partner of RMS, Ltd. Change in shares due to re-alocation of partnership interest, Trust essentially owns the same number of shares. Held by Emily Ratner (daughter) as a limited partner in RMS, Ltd. Held by David Ratner (son) as a limited partner in RMS, Ltd. Brian Ratner 1986 Family Trust, limited partner in FCE Management, L.P. - 6,405 shares for the benefit of David (son), and 6,405 shares for the benefit of Emily (daughter). Albert Ratner Family Trust - as limited partner in FCE Management, L.P. limited partnership interest in RMS, Ltd., Brian Ratner is Trustee (also reported by Deborah Ratner Salzberg). Albert Ranter 1986 Grandchildren's Trust for the benefit of David (son), as limited partner in RMS. Brian Ratner 1989 Irrevocable Trust - as limited partner in FCE Management, L.P. limited partnership interest in RMS, Ltd., 114,300 shares for the benefit of David (son), and 114,300 shares for the benefit of Emily (daughter). Brian Ratner disclaims any beneficial interest. Albert B. Ratner 1989 Grand Childrens Trust - a limited partnership interest in RMS, Ltd., for the benefit of David (son). Brian Ratner disclaims any beneficial interest. Albert B. Ratner 1989 Grand Childrens Trust - a limited partnership interest in RMS, Ltd., for the benefit of Emily (daughter). Brian Ratner disclaims any beneficial interest. Albert B. Ratner 1999 Revocable Trust - limited partnership interest in FCE Management, L.P., a limited partner of RMS, Ltd., 185,260 shares for the benefit of David (son), and 185,259 shares for the benefit of Emily (daughter). Brian Ratner disclaims any benefical interest. 2003 Stock Option Grant - 25% exercisable 3/17/2005; 25% exercisable 3/17/2006; and 50% exercisable 3/17/2007. 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 on 4/04/2008; 25% exercisable on 4/04/2009; and 50% exersicable on 4/04/2010. 2007 Stock Option Grant - 25% exercisable 3/29/2009; 25% exercisable 3/29/2010; and 50% exercisable 3/29/2011. Class B Common Stock is convertible to Class A Common Stock on a share -for -share basis; stock is convertible at any time - there is no fixed exercise date or expiration date. Sale was made pusuant to the S-3ASR filed 6/22/2007 - Registration No. 333-143991 Geralyn M. Presti, Attorney-in-Fact for Brian J. Ratner 2007-07-13 EX-24 2 attach_1.txt 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/ Brian J. Ratner Brian J. Ratner -----END PRIVACY-ENHANCED MESSAGE-----