SEC Form 4 · accession 0001217406-17-000004

Forest City Realty Trust, Inc. · FCEA

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

Reporting owner

Stan Ross

Other

Period of report

Jun 28, 2017

Accepted (ET)

Jun 29, 2017 · 6:38 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 Stock^F1	Mar 24, 2017	A	5,726	$0.00	A	5,726	D
Class A Common Stock^F15,F2	Jun 28, 2017	M	12,674	$0.00	A	67,533	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 Rights^F15,F13,F14	$0.00	Jun 28, 2017	M	12,674	D	Aug 8, 1988	Aug 8, 1988	Class A Common	12,674	0	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

F12017 Restricted Stock Grant - 100% vest on 3/24/2018.
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 - Following the reporting person's termination of service as a director, the phantom stock rights vested, resulting in shares issued to the reporting person and cash in lieu of fractional shares. The fair market value of the securities at the time of vesting is $24.36.
F2Shares held direct in street account. 6/28/2017- A total of 12,674 phantom shares were paid in common stock, with cash payment in lieu of fractional shares, at the election of the reporting person, following the reporting person's termination of service as a director.
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.