SEC Form 5 · accession 0001217398-17-000001

Forest City Realty Trust, Inc. · FCEA

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

Reporting owner

10% Owner

Period of report

Dec 31, 2016

Accepted (ET)

Feb 13, 2017 · 6:32 pm EST

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	Dec 8, 2016	G	3,600	$0.00	D	73,685	I	See footnote
Class A Common Stock^F2	holding	—	—		—	29,472	I	See footnote
Class A Common Stock^F3	holding	—	—		—	37,156	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class B Common - Convertible^F4,F7,F8	$0.00	holding	—	—	—	Aug 8, 1988	Aug 8, 1988	Common Stock	900	900	D
Class B Common - Convertible^F5,F7,F8	$0.00	holding	—	—	—	Aug 8, 1988	Aug 8, 1988	Common Stock	1,354,751	1,354,751	D
Class B Common - Convertible^F6,F7,F8	$0.00	holding	—	—	—	Aug 8, 1988	Aug 8, 1988	Common Stock	13,500	13,500	D

F1Joan Shafran, Trustee - held in street account with Barclays.
F2Held Indirect by The Berimore Company (a general partnership). Joan Shafran is a general partner along with siblings, Joseph Shafran and Paula Krulak.
F3Joan Shfaran GRIT dated 8/01/2007. Joan Shafran recieves income from the shares but has no beneficial interest; Joan Shafran serves as a Trustee for the trust.
F4Held Indirect - General Partner of RMS, Ltd.
F5Held Indirect - Held by The Berimore Company as a limited partner of RMS, Ltd. Joan Shafran is a general partner of The Berimore Company along with siblings, Joseph Shafran and Paula Krulak.
F6Held Indirect - Powell Partners.
F7Stocks are convertible from Class B Common to Class A Common on a 1-for-1 basis.
F8Immediate - stocks are convertible at any time, there is no fixed exercisable date or expiration date.