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) 01/31/2011 | ||||||||||||||||||||||||||
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 | 12/28/2010 | G | 1,696 | D | $0 | 887,614 | I | See footnote(1) | |||||||
Class A Common Stock | 3,192 | I | See footnote(2) | ||||||||||||
Class A Common Stock | 1,988 | D(3) | |||||||||||||
Class A Common Stock | 10,189 | D(4) | |||||||||||||
Class A Common Stock | 4,975 | D(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(19) | 08/08/1988(19) | 08/08/1988(19) | Common Stock | 900 | 900 | D(6) | |||||||
Class B Common - Convertible | $0(19) | 08/08/1988(19) | 08/08/1988(19) | Common Stock | 228,858 | 228,858 | I | See footnote(7) | ||||||
Class B Common - Convertible | $0(19) | 12/16/2010 | G | 6,420 | 08/08/1988(19) | 08/08/1988(19) | Common Stock | 332,204 | $0 | 338,624 | I | See footnote(8) | ||
Class B Common - Convertible | $0(19) | 01/04/2011 | G | 6,112 | 08/08/1988(19) | 08/08/1988(19) | Common Stock | 338,624 | $0 | 344,736 | I | See footnote(8) | ||
Class B Common - Convertible | $0(19) | 08/08/1988(19) | 08/08/1988(19) | Common Stock | 182,090 | 182,090 | I | See footnote(9) | ||||||
Class B Common - Convertible | $0(19) | 08/08/1988(19) | 08/08/1988(19) | Common Stock | 86,396 | 86,396 | I | See footnote(10) | ||||||
Class B Common - Convertible | $0(19) | 08/08/1988(19) | 08/08/1988(19) | Common Stock | 225,547 | 225,547 | I | See footnote(11) | ||||||
2003 Stock Option Grant (right to buy) | $15.5 | 03/17/2005(12) | 03/17/2013 | Class A Common | 16,200 | 16,200 | D(12) | |||||||
2005 Stock Option Grant (right to buy) | $31.75 | 04/06/2007(13) | 04/06/2015 | Class A Common | 15,000 | 15,000 | D(13) | |||||||
2006 Stock Option Grant (right to buy) | $46.37 | 04/04/2008(14) | 04/04/2016 | Class A Common | 15,000 | 15,000 | D(14) | |||||||
2007 Stock Option Grant (right to buy) | $65.35 | 03/29/2009(15) | 03/29/2017 | Class A Common | 15,000 | 15,000 | D(15) | |||||||
2008 Stock Option Grant (right to buy) | $36.38 | 06/18/2010(16) | 06/18/2018 | Class A Common | 9,492 | 9,492 | D(16) | |||||||
2009 Stock Option Grant (right to buy) | $7.8 | 04/21/2011(17) | 04/21/2019 | Class A Common | 4,746 | 4,746 | D(17) | |||||||
2010 Stock Option Grant (right to buy) | $15.89 | 04/14/2012(18) | 04/14/2020 | Class A Common | 7,913 | 7,913 | D(18) |
Explanation of Responses: |
1. Brian Ratner Revocable Trust dated 8/18/1986. |
2. 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. |
3. 2008 Restricted Stock Grant - 25% vest on 6/18/2010; 25% vest on 6/18/2011; and 50% vest on 6/18/2012. |
4. 2009 Restricted Stock Grant - 25% vest on 4/21/2011; 25% vest on 4/21/2012; and 50% vest on 4/21/2013. |
5. 2010 Restricted Stock Grant - 25% vest on 4/14/2012; 25% vest on 4/14/2013; and 50% vest on 4/14/2014. |
6. General Partnership interest in RMS, Ltd. partnership a 10% sharelholder. |
7. Brian Ratner Trust dated 1/15/1958 - limited partnership interest in FCE Management, L.P. a limited partner of RMS, Ltd. |
8. 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. |
9. 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. |
10. 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. |
11. 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. |
12. 2003 Stock Option Grant - 25% exercisable 3/17/05; 25% exercisable 3/17/06; and 50% exercisable 3/17/07. |
13. 2005 Stock Option Grant - 25% exercisable 4/06/2007; 25% exercisable 4/06/2008; and 50% exersicable 4/06/2009. |
14. 2006 Stock Option Grant - 25% exercisable 4/4/2008; 25% exercisable 4/4/2009; and 50% exercisable on 4/4/2010. |
15. 2007 Stock Option Grant - 25% exercisable 3/29/2009; 25% exercisable 3/29/2010; and 50% exercisable 3/29/2011. |
16. 2008 Stock Option Grant - 25% exercisable 6/18/2010; 25% exercisable 6/18/2011; and 50% exercisable 6/18/2012. |
17. 2009 Stock Option Grant - 25% exercisable 4/21/2011; 25% exercisable 4/21/2012; and 50% exercisable 4/21/2013. |
18. 2010 Stock Option Grant - 25% exercisable 4/14/2012; 25% exercisable 4/14/2013; and 50% exercisable 4/14/2014. |
19. 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 Brian J. Ratner | 03/17/2011 | |
** 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. |