SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Ratner Charles A – ‘4’ for 3/29/07 re: Forest City Enterprises Inc

On:  Monday, 4/2/07, at 7:00pm ET   ·   For:  3/29/07   ·   As:  Director, Officer and 10% Owner   ·   Accession #:  1217463-7-2   ·   File #:  1-04372

Previous ‘4’:  ‘4’ on 3/27/07 for 3/23/07   ·   Next:  ‘4’ on 5/4/07 for 5/2/07   ·   Latest:  ‘4’ on 11/1/16 for 10/31/16

  in   Show  and 
Help... Wildcards:  ? (any letter),  * (many).  Logic:  for Docs:  & (and),  | (or);  for Text:  | (anywhere),  "(&)" (near).

  As Of                Filer                Filing    For·On·As Docs:Size              Issuer

 4/02/07  Ratner Charles A                  4          D,O,%Owner  2:24K  Forest City Enterprises Inc

Statement of Change in Beneficial Ownership of Securities   —   Form 4
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Change in Beneficial Ownership of      HTML     23K 
                          Securities -- edgar.xml/2.2                            
 2: EX-24       Power of Attorney                                      1      5K 


4   —   Statement of Change in Beneficial Ownership of Securities — edgar.xml/2.2


This document is an XML File that may be rendered in various formats:

Form 4  –  Plain Text  –  EDGAR System  –  SEC Website  –  XML Listing  –  <?xml?> File
 

 
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

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
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
RATNER CHARLES A

(Last) (First) (Middle)
50 PUBLIC SQUARE, SUITE 1100


(Street)
CLEVELAND OH 44113

(City) (State) (Zip)
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)
X Director X 10% Owner
X Officer (give title below)  Other (specify below)
Chairman of the Bd, CEO & Pres
3. Date of Earliest Transaction (Month/Day/Year)
3/29/07
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
 Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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 Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock        847,803 I See footnote (1)
Class A Common Stock        875 I See footnote (2)
Class A Common Stock        4,204 I See footnote (3)
Class A Common Stock        237,500 I See footnote (4)
Class A Common Stock        541,806 I See footnote (5)
Class A Common Stock        2,236 I See footnote (6)
Class A Common Stock        8,198 I See footnote (7)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Class B Common - Convertible $0 (22)       8/8/88 (22) 8/8/88 (22) Common Stock 900  900 I See footnote (8)
Class B Common - Convertible $0 (22)       8/8/88 (22) 8/8/88 (22) Common Stock 75,078  75,078 I See footnote (9)
Class B Common - Convertible $0 (22)       8/8/88 (22) 8/8/88 (22) Common Stock 909,392  909,392 I See footnote (10)
Class B Common - Convertible $0 (22)       8/8/88 (22) 8/8/88 (22) Common Stock 23,531  23,531 I See footnote (11)
Class B Common - Convertible $0 (22)       8/8/88 (22) 8/8/88 (22) Common Stock 5,992  5,992 I See footnote (12)
Class B Common - Convertible $0 (22)       8/8/88 (22) 8/8/88 (22) Common Stock 5,992  5,992 I See footnote (13)
Class B Common - Convertible $0 (22)       8/8/88 (22) 8/8/88 (22) Common Stock 5,992  5,992 I See footnote (14)
Class B Common - Convertible $0 (22)       8/8/88 (22) 8/8/88 (22) Common Stock 5,992  5,992 I See footnote (15)
Class B Common - Convertible $0 (22)       8/8/88 (22) 8/8/88 (22) Common Stock 53,215  53,215 I See footnote (16)
Class B Common - Convertible $0 (22)       8/8/88 (22) 8/8/88 (22) Common Stock 233,080  233,080 I See footnote (17)
2003 Stock Option Grant (right to buy) $15.5       3/17/05 (18) 3/17/13 Class A Common 43,200  43,200 D (18) 
2005 Stock Option Grant (right to buy) $31.75       4/6/07 (19) 4/6/15 Class A Common 40,000  40,000 D (19) 
2006 Stock Option Grant (right to buy) $46.37       4/4/08 (20) 4/4/16 Class A Common 40,000  40,000 D (20) 
2007 Stock Option Grant (right to buy) $65.35 3/29/07  A  40,000  3/29/09 (21) 3/29/17 Class A Common 40,000 $0 (21) 40,000 D (21) 
Explanation of Responses:
(1)  Charles Ratner Revocable Trust dated 7/17/81. 38,650 shares were transferred from the individual account to the trust.
(2)  Charles Ratner 2001 Trust - dated 11/1/01. Trust holds 3,500 shares to split among children; son Adam has an interest in 874 shares. Charles Ratner disclaims beneficial interest.
(3)  Held by spouse in an account at McDonald Investments.
(4)  Illana Horowitz Ratner Trust - dated 12/29/92 (spouse).
(5)  Charles Ratner 1986 Remainder Interest Trust - Albert Ratner is trustee; Charles Ratner retains an income interest for life. Beneficiaries are his children.
(6)  Max Ratner 1986 Family Trust for the Benefit of Kevin Ratner (adult child of Charles Ratner) - Charles Ratner is trustee.
(7)  Max Ratner 1986 Family Trust for the Benefit of Rachel Ratner (adult child of Charles Ratner) - Charles Ratner is trustee.
(8)  General Partnership interest in RMS, Ltd. partnership a 10% shareholder.
(9)  The Charles Ratner Revocable Trust Agreement dated 7/17/81, as modified (Charles is settlor and co-trustee). RMS, Ltd. limited partnership interest.
(10)  The Charles Ratner Revocable Trust Agreement dated 7/17/81, as modified (Charles is settlor and co-trustee) FCE Management, L.P. interest as limited partner in RMS, Ltd.
(11)  Charles Ratner 2001 Trust - dated 11/1/01 - 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.
(12)  Max Ratner 1986 Family Trust for the benefit of Kevin Ratner (son) - Charles Ratner is Trustee.
(13)  Max Ratner 1986 Family Trust for the benefit of Rachel Ratner (daughter) - Charles Ratner is Trustee.
(14)  Max Ratner 1986 Family Trust for the benefit of Jonathan Ratner (son) - Charles Ratner is Trustee.
(15)  Max Ratner 1986 Family Trust for the benefit of Adam Ratner (son) - Charles Ratner is Trustee.
(16)  Max Ratner 1988 Grandchildrens Trust - a limited partner in RMS, Ltd., for the benefit of Adam (son). Charles Ratner disclaims any beneficial interest.
(17)  Max Ratner 1999 Irrevocable Trust - a limited partnership interest in FCE Management, L.P., a limited partner of RMS, Ltd., for the benefit of Adam (son). Charles Ratner disclaims any beneficial interest.
(18)  2003 Stock Option Grant - 25% exercisable 3/17/05; 25% exercisable 3/17/06; and 50% exercisable 3/17/07.
(19)  2005 Stock Option Grant - 25% exercisable 4/6/07; 25% exercisable 4/6/08; and 50% exersicable 4/6/09.
(20)  2006 Stock Option Grant - 25% exercisable 4/4/08; 25% exercisable 4/4/09; and 50% exersicable 4/4/10.
(21)  2007 Stock Option Grant - 25% exercisable 3/29/09; 25% exercisable 3/29/10; and 50% exercisable 3/29/11.
(22)  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.
Remarks:

 Geralyn M. Presti, Attorney-in-Fact for Charles A. Ratner 4/2/07
 ** 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.

________
Transaction Code:
    A:  Grant, award or other acquisition pursuant to Rule 16b-3(d).
Top
Filing Submission 0001217463-07-000002   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2017 Fran Finnegan & Company.  All Rights Reserved.
AboutPrivacyRedactionsHelp — Sat., Nov. 18, 5:16:55.1am ET