SEC Form 4 · accession 0001185192-16-000002

Forest City Realty Trust, Inc. · FCEA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Michael P Esposito Jr.

Director

Period of report

Mar 23, 2016

Accepted (ET)

Mar 25, 2016 · 4:24 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 Stock^F1	Mar 18, 2016	A	21	$22.09	A	2,852	D
Class A Common Stock^F7	Mar 23, 2016	A	5,969	$0.00	A	5,969	D
Class A Common Stock^F2	holding	—	—		—	106,859	D
Class A Common Stock^F3	holding	—	—		—	11,400	I	See footnote
Class A Common Stock^F4	holding	—	—		—	1,100	I	See footnote
Class A Common Stock^F5	holding	—	—		—	1,894	D
Class A Common Stock^F6	holding	—	—		—	4,467	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2006 Stock Option Grant (right to buy)^F8	$46.37	holding	—	—	—	Apr 4, 2008	Apr 4, 2016	Class A Common	10,800	10,800	D
2007 Stock Option Grant (right to buy)^F9	$65.35	holding	—	—	—	Mar 29, 2009	Mar 29, 2017	Class A Common	10,800	10,800	D
2008 Stock Option Grant (right to buy)^F10,F9	$37.68	holding	—	—	—	Apr 7, 2009	Apr 7, 2018	Class A Common	10,637	10,637	D
2009 Stock Option Grant (right to buy)^F11	$7.80	holding	—	—	—	Apr 21, 2010	Apr 21, 2019	Class A Common	10,966	10,966	D
2010 Stock Option Grant (right to buy)^F12	$15.89	holding	—	—	—	Apr 14, 2011	Apr 14, 2020	Class A Common	8,007	8,007	D
2011 Stock Option Grant (right to buy)^F13	$17.72	holding	—	—	—	Apr 13, 2012	Apr 13, 2021	Class A Common	8,927	8,927	D
2012 Stock Option Grant (right to buy)^F14	$14.74	holding	—	—	—	Apr 11, 2013	Apr 11, 2022	Class A Common	10,825	10,825	D

Explanation of responses

F1Held in a Dividend Reinvestment Account (DRIP). Acquisition of shares due to dividend paid on 3/18/2016.
F102008 Stock Option Grant - 33.33% exercisable 4/07/2009; 33.33% exercisable 4/07/2010; and 33.33% exercisable 4/07/2011.
F112009 Stock Option Grant - 33.33% exercisable 4/21/2010; 33.33% exercisable 4/21/2011; and 33.33% exercisable 4/21/2012.
F122010 Stock Option Grant - 33.33% exercisable 4/14/2011; 33.33% exercisable 4/14/2012; and 33.33% exercisable 4/14/2013.
F132011 Stock Option Grant - 33.33% exercisable 4/13/2012; 33.33% exercisable 4/13/2013; and 33.33% exercisable 4/13/2014.
F142012 Stock Option Grant - 33.33% exercisable 4/11/2013; 33.33% exercisable 4/11/2014; and 33.33% exercisable 4/11/2015.
F2Shares held direct in street account. 1,893 shares vested on 4/08/2015 and were transferred to this account.
F3Ellen L. Esposito Trust, dated 11/05/2012 - for the benefit of spouse.
F4Shares are held by Sag Pond Partners - Mr. Esposito retains sole investment control.
F52013 Restricted Stock Grant - 33.33% vest on 4/08/2014; 33.33% vest on 4/08/2015; and 33.33% vest on 4/08/2016. 1,893 shares vested on 4/08/2015 and were transferred to brokerage account. See footnote #2.
F62015 Restricted Stock Grant - 100% vest on 3/26/2016.
F72016 Restricted Stock Grant - 100% vest on 3/23/2017.
F82006 Stock Option Grant - 25% exercisable 4/04/2008; 25% exercisable 4/04/2009; and 50% exersicable 4/04/2010.
F92007 Stock Option Grant - 25% exercisable 3/29/2009; 25% exercisable 3/29/2010; and 50% exercisable 3/29/2011.