SEC Form 4 · accession 0001185192-16-000003
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
Jun 24, 2016
Accepted (ET)
Jul 1, 2016 · 12:38 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 | Jun 24, 2016 | A | 8 | $22.60 | A | 2,859 | D | |
| Class A Common StockF2 | holding | — | — | — | 113,220 | D | ||
| Class A Common StockF3 | holding | — | — | — | 11,400 | I | See footnote | |
| Class A Common StockF4 | holding | — | — | — | 1,100 | I | See footnote | |
| Class A Common StockF5 | holding | — | — | — | 5,969 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2007 Stock Option Grant (right to buy)F6 | $65.35 | holding | — | — | — | Mar 29, 2009 | Mar 29, 2017 | Class A Common | 10,800 | 10,800 | D |
| 2008 Stock Option Grant (right to buy)F7,F6 | $37.68 | holding | — | — | — | Apr 7, 2009 | Apr 7, 2018 | Class A Common | 10,637 | 10,637 | D |
| 2009 Stock Option Grant (right to buy)F8 | $7.80 | holding | — | — | — | Apr 21, 2010 | Apr 21, 2019 | Class A Common | 10,966 | 10,966 | D |
| 2010 Stock Option Grant (right to buy)F9 | $15.89 | holding | — | — | — | Apr 14, 2011 | Apr 14, 2020 | Class A Common | 8,007 | 8,007 | D |
| 2011 Stock Option Grant (right to buy)F10 | $17.72 | holding | — | — | — | Apr 13, 2012 | Apr 13, 2021 | Class A Common | 8,927 | 8,927 | D |
| 2012 Stock Option Grant (right to buy)F11 | $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 6/24/2016. Deemed acquistion date is 6/29/2016, since that was the date the transfer agent (Wells Fargo) processed and paid the DRIP dividends. This is a voluntary reporting of a small acquistion.
- F102011 Stock Option Grant - 33.33% exercisable 4/13/2012; 33.33% exercisable 4/13/2013; and 33.33% exercisable 4/13/2014.
- F112012 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. 4,467 restricted shares vested on 3/26/2016 and were transferred to this account. 1,894 restricted shares vested on 4/08/2016 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.
- F52016 Restricted Stock Grant - 100% vest on 3/23/2017.
- F62007 Stock Option Grant - 25% exercisable 3/29/2009; 25% exercisable 3/29/2010; and 50% exercisable 3/29/2011.
- F72008 Stock Option Grant - 33.33% exercisable 4/07/2009; 33.33% exercisable 4/07/2010; and 33.33% exercisable 4/07/2011.
- F82009 Stock Option Grant - 33.33% exercisable 4/21/2010; 33.33% exercisable 4/21/2011; and 33.33% exercisable 4/21/2012.
- F92010 Stock Option Grant - 33.33% exercisable 4/14/2011; 33.33% exercisable 4/14/2012; and 33.33% exercisable 4/14/2013.