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Ratnersalzberg Deborah – ‘4’ for 12/1/14 re: Forest City Enterprises Inc.

On:  Tuesday, 12/2/14, at 5:18pm ET   ·   For:  12/1/14   ·   As:  Director, Officer and 10% Owner   ·   Accession #:  1217466-14-19   ·   File #:  1-04372

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

12/02/14  Ratnersalzberg Deborah            4          D,O,%Owner  2:36K  Forest City Enterprises Inc.

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML     34K 
                Securities by an Insider -- edgar.xml/3.6                        
 2: EX-24       Power of Attorney                                      1      4K 


‘4’   —   Statement of Changes in Beneficial Ownership of Securities by an Insider — edgar.xml/3.6




        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

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

 
SEC Info rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED 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*
RATNERSALZBERG DEBORAH

(Last)(First)(Middle)
301 WATER ST SE SUITE 201

(Street)
WASHINGTONDC20003

(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)
XDirectorX10% Owner
XOfficer (give title below) Other (specify below)
Executive Vice President
3. Date of Earliest Transaction (Month/Day/Year)
12/1/14
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Class A Common Stock 12/1/14 S (23) 6,000D$21.4879 (1)532,773ISee footnote (1)
Class A Common Stock 44,135ISee footnote (2)
Class A Common Stock 13,465ISee footnote (2)
Class A Common Stock 163,418ISee footnote (3)
Class A Common Stock 432,257ISee footnote (4)
Class A Common Stock 3,676ISee footnote (5)
Class A Common Stock 7,352ISee footnote (6)
Class A Common Stock 7,352ISee footnote (7)
Class A Common Stock 2,891D (8)
Class A Common Stock 5,966D (9)
Class A Common Stock 6,866D (10)
Class A Common Stock 6,629D (11)
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Class B Common - Convertible$0 (22) 8/8/88 (22) 8/8/88 (22)Common Stock900 900 (12)D
Class B Common - Convertible$0 (22) 8/8/88 (22) 8/8/88 (22)Common Stock180 180ISee footnote (2)
Class B Common - Convertible$0 (22) 8/8/88 (22) 8/8/88 (22)Common Stock100,000 100,000ISee footnote (4)
Class B Common - Convertible$0 (22) 8/8/88 (22) 8/8/88 (22)Common Stock148,800 148,800ISee footnote (5)
Class B Common - Convertible$0 (22) 8/8/88 (22) 8/8/88 (22)Common Stock782,666 782,666ISee footnote (13)
Class B Common - Convertible$0 (22) 8/8/88 (22) 8/8/88 (22)Common Stock5,040 5,040ISee footnote (14)
Class B Common - Convertible$0 (22) 8/8/88 (22) 8/8/88 (22)Common Stock33,834 33,834ISee footnote (15)
Class B Common - Convertible$0 (22) 8/8/88 (22) 8/8/88 (22)Common Stock33,514 33,514ISee footnote (16)
Class B Common - Convertible$0 (22) 8/8/88 (22) 8/8/88 (22)Common Stock58,392 58,392ISee footnote (6)
Class B Common - Convertible$0 (22) 8/8/88 (22) 8/8/88 (22)Common Stock179,140 179,140ISee footnote (17)
Class B Common - Convertible$0 (22) 8/8/88 (22) 8/8/88 (22)Common Stock515,489 515,489ISee footnote (7)
2005 Stock Option Grant (right to buy)$31.75 4/6/07 (18) 4/6/15Class A Common15,000 15,000D (18)
2006 Stock Option Grant (right to buy)$46.37 4/4/08 (18) 4/4/16Class A Common15,000 15,000D (18)
2007 Stock Option Grant (right to buy)$65.35 3/29/09 (18) 3/29/17Class A Common15,000 15,000D (18)
2008 Stock Option Grant (right to buy)$36.38 6/18/10 (18) 6/18/18Class A Common9,599 9,599D (18)
2009 Stock Option Grant (right to buy)$7.8 4/21/11 (18) 4/21/19Class A Common4,800 4,800D (18)
2010 Stock Option Grant (right to buy)$15.89 4/14/12 (18) 4/14/20Class A Common8,002 8,002D (18)
2011 Stock Option Grant (right to buy)$17.72 4/13/13 (18) 4/13/21Class A Common9,146 9,146D (18)
2012 Performance Shares$0 12/31/15 8/8/88 (19)Class A Common7,954 7,954D (19)
2013 Performance Shares$0 12/31/16 8/8/88 (20)Class A Common6,504 6,504D (20)
2014 Performance Shares$0 12/31/17 8/8/88 (21)Class A Common6,629 6,629D (21)
Explanation of Responses:
(1)  U/A Deborah Ratner-Salzberg Trust dated 2/9/87. The price $21.4879 represents a weighed average of sales prices ranging from $21.41 per share to $21.56 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.
(2)  Michael Salzberg (spouse) shares held directly in street accounts.
(3)  Albert B. Ratner 1989 Grandchildren's Trust - for the Benefit of Anna Salzberg (daughter) 83,603 and Eric Salzberg (son) 79,815. Deborah Ratner-Salzberg disclaims any beneficial interest.
(4)  Albert Ratner Remainder Interest Trust - for the benefit of Anna Salzberg (daughter) 216,128 Class A shares & 50,000 Class B shares, and Eric Salzberg (son) 216,129 Class A shares & 50,000 Class B shares. Deborah Ratner-Salzberg disclaims any beneficial interest.
(5)  Albert B. Ratner 1986 Grandchildren's Trust - for the benefit of Anna Salzberg (daughter).
(6)  Albert B. Ratner 1987 Family Trust - (Class B shares are held as a limited partner in RMS, Ltd.) for the benefit of Eric Salzberg (son). Deborah Ratner-Salzberg disclaims any beneficial interest.
(7)  Albert B. Ratner 1999 Revocable Trust- 515,489 Class B shares are held as a limited partnership interest in FCE Management, L.P. limited partner of RMS, Ltd.; 255,222 shares for the benefit of Anna Salzberg (daughter), and 260,267 shares for the benefit of Eric Salzberg (son). Deborah Ratner-Salzberg disclaims any benefical interest. Deborah Ratner serves as an advisor to the trust. 7,352 Class A shares (3,676 - Anna & 3,676 - Eric) are not held as a limited partnership interest in FCE Management, LP.
(8)  2011 Restricted Stock Grant - 25% vest on 4/13/13; 25% vest on 4/13/14; and 50% vest on 4/13/15.
(9)  2012 Restricted Stock Grant - 25% vest on 4/11/14; 25% vest on 4/11/15; and 50% vest on 4/11/16.
(10)  2013 Restricted Stock Grant - 25% vest on 4/8/15; 25% vest on 4/8/16; and 50% vest on 4/8/17.
(11)  2014 Restricted Stock Grant - 0% vest on 3/28/15; 25% vest on 3/28/16; 25% vest on 3/28/17; and 50% vest on 3/28/18.
(12)  General Partnership interest in RMS, Ltd., an Ohio limited partnership.
(13)  U/A Deborah Ratner-Salzberg Trust dated 2/9/87 - limited partnership interest in RMS, Ltd. limited partnership. 378,822 shares are held as a direct limited partner of RMS, Ltd and 403,844 shares are held as a limited partnersip interest in FCE Management, LP (a limited partner of RMS, Ltd.).
(14)  Anna Salzberg (daughter), shares are held in street account at UBS Financial Services as limited partner in RMS, Ltd. Deborah Ratner-Salzberg disclaims any benefical interest.
(15)  Albert B. Ratner 1989 Grandchildren's Trust - for the benefit of Anna Salzberg (daughter). Deborah Ratner-Salzberg disclaims any beneficial interest.
(16)  Albert B. Ratner 1989 Grandchildren's Trust - for the benefit of Eric Salzberg (son). Deborah Ratner-Salzberg disclaims any beneficial interest.
(17)  Albert B. Ratner 1989 Grandchildrens Trust - limited partnership interest in FCE Management, L.P. limited partner of RMS, Ltd., 44,367 shares are for the benefit of Anna Salzberg (daughter) and 134,773 shares are for the benefit of Eric Salzberg (son). Deborah Ratner-Salzberg disclaims any benefical interest.
(18)  2005 Stock Option Grant - 25% exercisable 4/6/07; 25% exercisable 4/6/08; and 50% exercisable 4/6/09. 2006 Stock Option Grant - 25% exercisable 4/4/08; 25% exercisable 4/4/09; and 50% exercisable 4/4/10. 2007 Stock Option Grant - 25% exercisable 3/29/09; 25% exercisable 3/29/10; and 50% exercisable 3/29/11. 2008 Stock Option Grant - 25% exercisable 6/18/10; 25% exercisable 6/18/11; and 50% exercisable 6/18/12. 2009 Stock Option Grant - 25% exercisable 4/21/11; 25% exercisable 4/21/12; and 50% exercisable 4/21/13. 2010 Stock Option Grant - 25% exercisable 4/14/12; 25% exercisable 4/14/13; and 50% exercisable 4/14/14. 2011 Stock Option Grant - 25% exercisable 4/13/13; 25% exercisable 4/13/14; and 50% exercisable 4/13/15.
(19)  Performance Shares Award - granted 4/11/12 - performance period is from February 1, 2012 to December 31, 2015. Awards will be available to the grantee at the end of the performance period provided that certain performance criteria are met. The actual number of shares earned could range from 0 to 200% of the number of Performance Shares granted. Fair market value on date of grant is $14.74 per share. There is no fixed expiration date.
(20)  Performance Shares Award - granted 4/8/13 - performance period is from February 1, 2013 to December 31, 2016. Awards will be available to the grantee at the end of the performance period provided that certain performance criteria are met. The actual number of shares earned could range from 0 to 200% of the number of Performance Shares granted. Fair market value on date of grant is $17.60 per share. There is no fixed expiration date.
(21)  Performance Shares Award - granted 3/28/14 - performance period is from January 1, 2014 to December 31, 2017. Awards will be available to the grantee at the end of the performance period provided that certain performance criteria are met. The actual number of shares earned could range from 0 to 200% of the number of Performance Shares granted. Fair market value on date of grant is $18.73 per share. There is no fixed expiration date.
(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.
(23)  Sales in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person (trust) on December 19, 2013.
Remarks:
Geralyn M. Presti, Attorney-In-Fact for Deborah Ratner-Salzberg 12/2/14
** Signature of Reporting PersonDate
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.
____________
Transaction Code:
    S    Open market or private sale of non-derivative or derivative security.

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