0001217462-11-000001.txt : 20110317 0001217462-11-000001.hdr.sgml : 20110317 20110317165103 ACCESSION NUMBER: 0001217462-11-000001 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20110131 FILED AS OF DATE: 20110317 DATE AS OF CHANGE: 20110317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RATNER BRIAN J CENTRAL INDEX KEY: 0001217462 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-04372 FILM NUMBER: 11695634 MAIL ADDRESS: STREET 1: 50 PUBLIC SQUARE 1100 CITY: CLEVELAND STATE: OH ZIP: 44113 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 5 1 edgar.xml PRIMARY DOCUMENT X0303 5 2011-01-31 0 0 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 2010-12-28 5 G 0 1696 0 D 887614 I See footnote Class A Common Stock 3192 I See footnote Class A Common Stock 1988 D Class A Common Stock 10189 D Class A Common Stock 4975 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 228858 228858 I See footnote Class B Common - Convertible 0 2010-12-16 5 G 0 6420 0 A 1988-08-08 1988-08-08 Common Stock 332204 338624 I See footnote Class B Common - Convertible 0 2011-01-04 5 G 0 6112 0 A 1988-08-08 1988-08-08 Common Stock 338624 344736 I See footnote Class B Common - Convertible 0 1988-08-08 1988-08-08 Common Stock 182090 182090 I See footnote 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 225547 225547 I See footnote 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 2008 Stock Option Grant (right to buy) 36.38 2010-06-18 2018-06-18 Class A Common 9492 9492 D 2009 Stock Option Grant (right to buy) 7.80 2011-04-21 2019-04-21 Class A Common 4746 4746 D 2010 Stock Option Grant (right to buy) 15.89 2012-04-14 2020-04-14 Class A Common 7913 7913 D Brian Ratner Revocable Trust dated 8/18/1986. 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). Brian Ratner is a Trustee for the trust. 2008 Restricted Stock Grant - 25% vest on 6/18/2010; 25% vest on 6/18/2011; and 50% vest on 6/18/2012. 2009 Restricted Stock Grant - 25% vest on 4/21/2011; 25% vest on 4/21/2012; and 50% vest on 4/21/2013. 2010 Restricted Stock Grant - 25% vest on 4/14/2012; 25% vest on 4/14/2013; and 50% vest on 4/14/2014. 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. Albert Ratner 1989 Grandchildren Trust - 172,547 shares for the benefit of David (son), and 172,189 shares for the benefit of Emily (daughter) as a limited partner of FCE Managment, L.P., a limited partner of RMS, Ltd. Gift was allocated 4,296 shares to David and 3,938 shares to Emily. Brian Ratner serves as a Trustee for the trust. 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 is a Trustee for the trust. Albert B. Ratner 1999 Revocable Trust - limited partnership interest in FCE Management, L.P., a limited partner of RMS, Ltd., 107,771 shares for the benefit of David (son), and 117,776 shares for the benefit of Emily (daughter). Brian Ratner disclaims any benefical interest. Brian Ratner serves as an advisor to the trust. 2003 Stock Option Grant - 25% exercisable 3/17/05; 25% exercisable 3/17/06; and 50% exercisable 3/17/07. 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 4/4/2008; 25% exercisable 4/4/2009; and 50% exercisable on 4/4/2010. 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. 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. Geralyn M. Presti, Attorney-in-Fact for Brian J. Ratner 2011-03-17 EX-24 2 attach_1.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 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