SEC Form 4 · accession 0001047253-18-000004
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
Mar 16, 2018
Accepted (ET)
Mar 19, 2018 · 6:00 pm 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 | — | — | — | 23,972 | 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 RightsF8,F9,F10 | $0.00 | Mar 16, 2018 | A | 49 | A | Aug 8, 1988 | Aug 8, 1988 | Class A Common | 49 | 5,786 | D |
| 2008 Stock Option Grant (right to buy)F2 | $37.68 | holding | — | — | — | Apr 7, 2009 | Apr 7, 2018 | Class A Common | 5,319 | 5,319 | D |
| 2011 Stock Option Grant (right to buy)F3 | $17.72 | holding | — | — | — | Apr 13, 2012 | Apr 13, 2021 | Class A Common | 4,463 | 4,463 | D |
| 2012 Stock Option Grant (right to buy)F4 | $14.74 | holding | — | — | — | Apr 11, 2013 | Apr 11, 2022 | Class A Common | 7,216 | 7,216 | D |
| 2014 Stock Option Grant (right to buy)F5 | $18.73 | holding | — | — | — | Mar 28, 2015 | Mar 28, 2024 | Class A Common | 616 | 4,127 | D |
| 2016 Stock Option Grant (right to buy)F6 | $20.94 | holding | — | — | — | Mar 23, 2017 | Mar 23, 2026 | Class A Common | 12,510 | 0 | D |
| 2017 Stock Option Grant (right to buy)F7 | $21.83 | holding | — | — | — | Mar 24, 2018 | Mar 24, 2027 | Class A Common | 26,112 | 26,112 | D |
Explanation of responses
- F1Shares are held in street account. A total of 23,572 shares were moved from filer's Direct Registration Account to this account in September 2017. Table I has been further revised to remove two lines reflecting 1,016 and 13, 526 shares, respectively, that were inadvertently included on filer's Form 4s, filed on 11/29/17 and 12/29/17, following the dispositions reported on filer's Form 4 dated 9/21/2017.
- F10No present expiration date.
- F22008 Stock Option Grant - 33.33% exercisable 4/07/2009; 33.33% exercisable 4/07/2010; and 34.33 exercisable 4/07/2011.
- F32011 Stock Option Grant - 33.33% exercisable 4/13/2012; 33.33% exercisable 4/13/2013; and 33.33% exercisable 4/13/2014.
- F42012 Stock Option Grant - 33.33% exercisable 4/11/2013; 33.33% exercisable 4/11/2014; and 33.33% exercisable 4/11/2015.
- F52014 Stock Option Grant - 100% exercisable 3/28/2015.
- F62016 Stock Option Grant - 100% exercisable 3/23/2017.
- F72017 Stock Option Grant - 100% exercisable 3/24/2018.
- F8Phantom Stock - 1-for-1 - Deferred compensation plan contributions. Plan requires participants to make an annual defined election. Shares added due to reinvestment of dividend.
- F9Exercisable at retirement, termination, death or disability.