SEC Form 5 · accession 0000899243-18-004049
Forest City Realty Trust, Inc. · FCEA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel H Miller
Other
Period of report
Dec 31, 2017
Accepted (ET)
Feb 14, 2018 · 9:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001647509
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF5,F6,F1 | Jun 12, 2017 | J | 1,306,470 | — | A | 1,954,975 | D | |
| Class A Common StockF5,F6,F3 | Jun 12, 2017 | J | 1,179 | — | A | 1,179 | D | |
| Class A Common StockF2 | holding | — | — | — | 10,693 | I | 401k Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common - ConvertibleF5,F6,F3,F7 | $0.00 | Jun 12, 2017 | J | 900 | D | Aug 8, 1988 | Aug 8, 1988 | Common Stock | 900 | 0 | D |
| Class B Common - ConvertibleF5,F6,F4,F7 | $0.00 | Jun 12, 2017 | J | 997,306 | D | Aug 8, 1988 | Aug 8, 1988 | Common Stock | 997,306 | 0 | D |
Explanation of responses
- F1Samuel H. Miller, Trustee of the Samuel H. Miller Trust UA, June 10, 1983.
- F2401k Plan - Class A Common shares.
- F3General partner in RMS, Ltd., and held as Samuel H. Miller, Trustee. Trust held 900 shares of Class B Common Stock which were reclassified on 6/12/17 into 1,179 shares of Class A Common Stock.
- F4Limited partner in RMS, Ltd., and held as Samuel H. Miller, Trustee. Trust held 997,306 shares of Class A Common stock which were reclassified into 1,306,470 shares of Class A Common Stock. Post-reclassification, as of 6/12/17, 633,800 shares of Class A Common Stock are held as a direct limited partnership interest in RMS, Ltd. and 1,334,372 shares of Class A Common Stock are held directly.
- F5Pursuant to a reclassification exempt under Rule 16b-7, each share of Class B common stock was reclassified and exchanged into 1.31 shares of Class A common stock.
- F6Reported as of 6/12/2017, the date the Reporting Person ceased to be subject to Section 16.
- F7Class B Common Stock was convertible to Class A Common Stock on a share-for-share basis, stock was convertible at any time - there was no fixed exercise date or expiration date.