0001217463-13-000005.txt : 20131002
0001217463-13-000005.hdr.sgml : 20131002
20131002091935
ACCESSION NUMBER: 0001217463-13-000005
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131001
FILED AS OF DATE: 20131002
DATE AS OF CHANGE: 20131002
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: 1231
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 CHARLES A
CENTRAL INDEX KEY: 0001217463
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-04372
FILM NUMBER: 131128621
MAIL ADDRESS:
STREET 1: 50 PUBLIC SQUARE SUITE 1100
CITY: CLEVELAND
STATE: OH
ZIP: 44113
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2013-10-01
0000038067
FOREST CITY ENTERPRISES INC
FCEA/FCEB
0001217463
RATNER CHARLES A
50 PUBLIC SQUARE, SUITE 1100
CLEVELAND
OH
44113
1
1
1
0
Chairman of the Board
Class A Common Stock
2013-10-01
4
S
0
25000
19.0249
D
223278
I
See footnote
Class A Common Stock
4204
I
See footnote
Class A Common Stock
506007
I
See footnote
Class A Common Stock
441806
I
See footnote
Class A Common Stock
4626
I
See footnote
Class A Common Stock
2236
I
See footnote
Class A Common Stock
8198
I
See footnote
Class A Common Stock
18679
I
See footnote
Class A Common Stock
13889
I
See footnote
Class A Common Stock
2948
I
See footnote
Class A Common Stock
10384
I
See footnote
Class A Common Stock
160000
I
See footnote
Class A Common Stock
10227
I
See footnote
Class A Common Stock
2750
I
See footnote
Class A Common Stock
31750
I
See footnote
Class A Common Stock
2013-10-01
4
S
0
25000
19.0416
D
23413
I
See footnote
Class A Common Stock
3776
D
Class A Common Stock
5643
D
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
900
900
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
75078
75078
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
453536
453536
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
23531
23531
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
5992
5992
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
5992
5992
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
5992
5992
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
5992
5992
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
73080
73080
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
378500
378500
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
3120
3120
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
193154
193154
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
256682
256682
I
See footnote
Class B Common - Convertible
0
1988-08-08
1988-08-08
Common Stock
244855
244855
I
See footnote
2005 Stock Option Grant (right to buy)
31.75
2007-04-06
2015-04-06
Class A Common
40000
40000
D
2006 Stock Option Grant (right to buy)
46.37
2008-04-04
2016-04-04
Class A Common
40000
40000
D
2007 Stock Option Grant (right to buy)
65.35
2009-03-29
2017-03-29
Class A Common
40000
40000
D
2008 Stock Option Grant (right to buy)
36.38
2010-06-18
2018-06-18
Class A Common
19691
19691
D
2009 Stock Option Grant (right to buy)
7.80
2011-04-21
2019-04-21
Class A Common
24220
24220
D
2010 Stock Option Grant (right to buy)
15.89
2012-04-14
2020-04-14
Class A Common
40289
40289
D
2011 Stock Option Grant (right to buy)
17.72
2013-04-13
2021-04-13
Class A Common
26782
26782
D
Charles Ratner Revocable Trust dated 7/17/1981. The price $19.0249 represents a weighed average of sales prices ranging from $19.005 per share to $19.04 per share. Full information regarding the number of shares sold at each separate price will be provided to the SEC, the issuer or a security holder of the issuer upon request.
Held by spouse in an account at UBS Investments.
Illana Horowitz Ratner Trust - dated 12/29/92 (spouse).
Charles Ratner 1986 Remainder Interest Trust - Albert Ratner is trustee; Charles Ratner retains an income interest for life. Beneficiaries are his children: Kevin, Rachel and Jonathan.
Charles Ratner 2001 Trust - dated 11/01/01. Trust holds 18,504 shares to split among children; son Adam has an interest in 4,626 shares. Charles Ratner disclaims beneficial interest.
Max Ratner 1986 Family Trust for the benefit of children: Kevin Ratner (son), Rachel Ratner (daughter), Jonathan Ratner (son) & Adam Ratner (son). Charles Ratner is Trustee. Class B shares are held as a limited partnership interest in RMS, Ltd.. Charles Ratner disclaims any beneficial interest.
Max Ratner 1988 Grandchildrens Trust - a limited partner in RMS, Ltd., for the benefit of Adam (son). Charles Ratner disclaims any beneficial interest.
Charles Ratner 1986 Family Trust Agreement U/A/D 12/18/86 FBO Adam Ratner. Charles Ratner disclaims beneficial interest.
Max Ratner 1999 Irrevocable Trust - trust hold both Class A & Class B shares. Class B shares are held as a limited partnership interest in FCE Management, L.P., a limited partner of RMS, Ltd.. Shares are for the benefit of Adam Ratner (son). Charles Ratner disclaims any beneficial interest.
Charles & Ilana Ratner 2007 Equalizing Trust - for the benefit of Adam (son). Charles Ratner disclaims any beneficial interest.
Kevin Ratner 1986 Trust - Charles Ratner is a co-trustee and trust advisor. Charles Ratner disclaims any beneficial interest.
Rachel Ratner 1988 Trust - Charles Ratner is a co-trustee and trust advisor. Charles Ratner disclaims any beneficial interest.
Jonathan Ratner 1992 Trust - Charles Ratner is a co-trustee and trust advisor. Charles Ratner disclaims any beneficial interest. The price $19.04162 represents a weighed average of sales prices ranging from $19.02 per share to $19.065 per share. Full information regarding the number of shares sold at each separate price will be provided to the SEC, the issuer or a security holder of the issuer upon request.
2010 Restricted Stock Grant - 25% vest on 4/14/2012; 25% vest on 4/14/2013; and 50% vest on 4/14/2014.
2011 Restricted Stock Grant - 25% vest on 4/13/2013; 25% vest on 4/13/2014; and 50% vest on 4/13/2015.
General Partnership interest in RMS, Ltd. partnership a 10% shareholder.
The Charles Ratner Revocable Trust Agreement dated 7/17/1981, as modified (Charles is settlor and co-trustee). RMS, Ltd. limited partnership interest.
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.
Charles Ratner 2001 Trust - dated 11/01/01 - FCE Management, L.P. interest as limited partner in RMS, Ltd. - total holdings of trust are 94,124, shares are split among children, son Adam has an interest in 23,531. Charles Ratner disclaims beneficial interest.
Adam Ratner - individual account (son). Charles Ratner disclaims any beneficial interest.
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 4/04/2008; 25% exercisable 4/04/2009; and 50% exersicable 4/04/2010.
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. 2011 Stock Option Grant - 25% exercisable 4/13/2013; 25% exercisable 4/13/2014; and 50% exercisable 4/13/2015.
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.
Geralyn M. Presti, Attorney-in-Fact for Charles A. Ratner
2013-10-02
EX-24
2
poa-cratner.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 Gerayln M. Presti,
J. Matthew Shady 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, any and all amendments and apply for EDGAR
Access Codes as required 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 March 1, 2013.
By: \s\ Charles A. Ratner
Charles A. Ratner