SEC Form 4 · accession 0001047253-18-000006
Forest City Realty Trust, Inc. · FCEA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Deborah L Harmon
Other
Period of report
Apr 16, 2018
Accepted (ET)
Apr 17, 2018 · 2:12 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 | Apr 16, 2018 | M | 4,463 | $17.72 | A | 28,435 | D | |
| Class A Common StockF1 | Apr 16, 2018 | M | 7,216 | $14.74 | A | 35,651 | D | |
| Class A Common StockF1 | Apr 16, 2018 | M | 4,127 | $18.73 | A | 39,778 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2011 Stock Option Grant (right to buy)F2 | $17.72 | Apr 16, 2018 | M | 4,463 | D | Apr 13, 2012 | Apr 13, 2021 | Class A Common | 4,463 | 0 | D |
| 2012 Stock Option Grant (right to buy)F3 | $14.74 | Apr 16, 2018 | M | 7,216 | D | Apr 11, 2013 | Apr 11, 2022 | Class A Common | 7,216 | 0 | D |
| 2014 Stock Option Grant (right to buy)F4 | $18.73 | Apr 16, 2018 | M | 4,127 | D | Mar 28, 2015 | Mar 28, 2024 | Class A Common | 4,127 | 0 | D |
| Phantom Stock Dividend Equivalent RightsF5,F6,F7 | $0.00 | holding | — | — | — | Aug 8, 1988 | Aug 8, 1988 | Class A Common | 5,786 | 5,786 | D |
Explanation of responses
- F1Shares are held in street account.
- F22011 Stock Option Grant - 33.33% exercisable 4/13/2012; 33.33% exercisable 4/13/2013; and 33.33% exercisable 4/13/2014.
- F32012 Stock Option Grant - 33.33% exercisable 4/11/2013; 33.33% exercisable 4/11/2014; and 33.33% exercisable 4/11/2015.
- F42014 Stock Option Grant - 100% exercisable 3/28/2015.
- F5Phantom Stock - 1-for-1 - Deferred compensation plan contributions. Plan requires participants to make an annual defined election.
- F6Exercisable at retirement, termination, death or disability.
- F7No present expiration date.