SEC Form 4 · accession 0001047253-16-000012
Forest City Realty Trust, Inc. · FCEA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deborah L Harmon
Director
Period of report
Sep 16, 2016
Accepted (ET)
Sep 19, 2016 · 10:51 am EDT
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 StockF1 | holding | — | — | — | 2,984 | D | ||
| Class A Common StockF2 | holding | — | — | — | 400 | D | ||
| Class A Common StockF3 | holding | — | — | — | 20,588 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Dividend Equivalent RightsF9,F10,F11 | $0.00 | Sep 16, 2016 | A | 10 | A | Aug 8, 1988 | Aug 8, 1988 | Class A Common | 3,789 | 3,799 | D |
| 2008 Stock Option Grant (right to buy)F4 | $37.68 | holding | — | — | — | Apr 7, 2009 | Apr 7, 2018 | Class A Common | 5,319 | 5,319 | D |
| 2011 Stock Option Grant (right to buy)F5 | $17.72 | holding | — | — | — | Apr 13, 2012 | Apr 13, 2021 | Class A Common | 4,463 | 4,463 | D |
| 2012 Stock Option Grant (right to buy)F6 | $14.74 | holding | — | — | — | Apr 11, 2013 | Apr 11, 2022 | Class A Common | 7,216 | 7,216 | D |
| 2014 Stock Option Grant (right to buy)F7 | $18.73 | holding | — | — | — | Mar 28, 2015 | Mar 28, 2024 | Class A Common | 4,743 | 4,743 | D |
| 2016 Stock Option Grant (right to buy)F8 | $20.94 | holding | — | — | — | Mar 23, 2017 | Mar 23, 2026 | Class A Common | 12,510 | 12,510 | D |
Explanation of responses
- F12016 Restricted Stock Grant - 100% vest on 3/23/2017.
- F10Exercisable at retirement, termination, death or disability.
- F11No present expiration date.
- F2Shares are held in street account.
- F3Shares are held in Direct Registration Account.
- F42008 Stock Option Grant - 33.33% exercisable 4/07/2009; 33.33% exercisable 4/07/2010; and 34.33 exercisable 4/07/2011.
- F52011 Stock Option Grant - 33.33% exercisable 4/13/2012; 33.33% exercisable 4/13/2013; and 33.33% exercisable 4/13/2014.
- F62012 Stock Option Grant - 33.33% exercisable 4/11/2013; 33.33% exercisable 4/11/2014; and 33.33% exercisable 4/11/2015.
- F72014 Stock Option Grant - 100% exercisable 3/28/2015.
- F82016 Stock Option Grant - 100% exercisable 3/23/2017.
- F9Phantom Stock - 1-for-1 - Deferred compensation plan contributions. Plan requires participants to make a annual defined election. Ms Harmon is currently contributing $8,125 on a quarterly basis from director fees paid after each quarterly meeting.