SEC Form 4 · accession 0001217406-16-000007
Forest City Realty Trust, Inc. · FCEA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stan Ross
Director
Period of report
Dec 23, 2016
Accepted (ET)
Dec 27, 2016 · 5:10 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 StockF1 | holding | — | — | — | 2,984 | D | ||
| Class A Common StockF2 | holding | — | — | — | 51,875 | 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 RightsF15,F13,F14 | $0.00 | Dec 23, 2016 | A | 37 | A | Aug 8, 1988 | Aug 8, 1988 | Class A Common | 12,538 | 12,575,356 | D |
| 2006 Stock Option Grant (right to buy)F3 | $46.37 | holding | — | — | — | Apr 4, 2008 | Apr 4, 2016 | Class A Common | 10,800 | 10,800 | D |
| 2007 Stock Option Grant (right to buy)F4 | $65.35 | holding | — | — | — | Mar 29, 2009 | Mar 29, 2017 | Class A Common | 10,800 | 10,800 | D |
| 2008 Stock Option Grant (right to buy)F5 | $37.68 | holding | — | — | — | Apr 7, 2009 | Apr 7, 2018 | Class A Common | 5,319 | 5,319 | D |
| 2010 Stock Option Grant (right to buy)F6 | $15.89 | holding | — | — | — | Apr 14, 2011 | Apr 14, 2020 | Class A Common | 2,001 | 2,001 | D |
| 2011 Stock Option Grant (right to buy)F7 | $17.72 | holding | — | — | — | Apr 13, 2012 | Apr 13, 2021 | Class A Common | 2,231 | 2,231 | D |
| 2012 Stock Option Grant (right to buy)F8 | $14.74 | holding | — | — | — | Apr 11, 2013 | Apr 11, 2022 | Class A Common | 6,625 | 6,625 | D |
| 2013 Stock Option Grant (right to buy)F9 | $17.60 | holding | — | — | — | Apr 8, 2014 | Apr 8, 2023 | Class A Common | 4,557 | 4,557 | D |
| 2014 Stock Option Grant (right to buy)F10 | $18.73 | holding | — | — | — | Mar 28, 2015 | Mar 28, 2024 | Class A Common | 4,743 | 4,743 | D |
| 2015 Stock Option Grant (right to buy)F11 | $24.62 | holding | — | — | — | Mar 26, 2016 | Mar 26, 2025 | Class A Common | 7,060 | 7,060 | D |
| 2016 Stock Option Grant (right to buy)F12 | $20.94 | holding | — | — | — | Mar 23, 2017 | Mar 23, 2026 | Class A Common | 12,510 | 12,510 | D |
Explanation of responses
- F12016 Restricted Stock Grant - 100% vest on 3/23/2017.
- F102014 Stock Option Grant - 100% exercisable 3/28/2015.
- F112015 Stock Option Grant - 100% exercisable 3/26/2016.
- F122016 Stock Option Grant - 100% exercisable 3/23/2017.
- F13Exercisable at retirement, termination, death or disability.
- F14No present expiration date.
- F15Phantom Stock - 1-for-1 - Deferred compensation plan contributions. Plan requires participants to make a annual defined election. Mr. Ross is currently not contributing to the Plan. Additional shares due to reinvestment of dividend.
- F2Shares held direct in street account. 2,233 shares vested 3/26/2016 and 947 shares vested 4/08/2016, vested shares were transferred to this account.
- F32006 Stock Option Grant - 25% exercisable 4/04/2008; 25% exercisable 4/04/2009; and 50% exersicable 4/04/2010.
- F42007 Stock Option Grant - 25% exercisable 3/29/2009; 25% exercisable 3/29/2010; and 50% exercisable 3/29/2011.
- F52008 Stock Option Grant - 33.33% exercisable 4/07/2009; 33.33% exercisable 4/07/2010; and 33.33% exercisable 4/07/2011.
- F62010 Stock Option Grant - 33.33% exercisable 4/14/2011; 33.33% exercisable 4/14/2012; and 33.33% exercisable 4/14/2013.
- F72011 Stock Option Grant - 33.33% exercisable 4/13/2012; 33.33% exercisable 4/13/2013; and 33.33% exercisable 4/13/2014.
- F82012 Stock Option Grant - 33.33% exercisable 4/11/2013; 33.33% exercisable 4/11/2014; and 33.33% exercisable 4/11/2015.
- F92013 Stock Option Grant - 33.33% exercisable 4/08/2014; 33.33% exercisable 4/08/2015; and 33.33% exercisable 4/08/2016.