SEC Form 4 · accession 0001217453-16-000006

Forest City Realty Trust, Inc. · FCEA

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

Reporting owner

Linda M Kane

Officer — Sr VP & Treasurer

Period of report

Mar 14, 2016

Accepted (ET)

Mar 15, 2016 · 7:06 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^F2	Mar 14, 2016	S	1,094	$21.13	D	29,332	D
Class A Common Stock^F2	Mar 14, 2016	S	1,281	$21.131	D	28,051	D
Class A Common Stock^F2	Mar 14, 2016	S	1,359	$21.135	D	26,692	D
Class A Common Stock^F1	holding	—	—		—	2,064	I	401k Plan

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2005 Stock Option Grant (right to buy)^F3	$31.75	holding	—	—	—	Apr 6, 2007	Apr 6, 2015	Class A Common	11,250	11,250	D
2006 Stock Option Grant (right to buy)^F4	$46.37	holding	—	—	—	Apr 4, 2008	Apr 4, 2016	Class A Common	15,000	15,000	D
2007 Stock Option Grant (right to buy)^F5	$65.35	holding	—	—	—	Mar 29, 2009	Mar 29, 2017	Class A Common	15,000	15,000	D
2008 Stock Option Grant (right to buy)^F6	$36.38	holding	—	—	—	Jun 18, 2010	Jun 18, 2018	Class A Common	6,522	6,522	D
Class B Common - Convertible^F7,F12,F11	$0.00	holding	—	—	—	Aug 8, 1988	Aug 8, 1988	Common Stock	1,735	1,735	I
2013 Performance Shares^F8	$0.00	holding	—	—	—	Dec 31, 2016	Aug 8, 1988	Class A Common	4,146	4,146	D
2014 Performance Shares^F9	$0.00	holding	—	—	—	Dec 31, 2017	Aug 8, 1988	Class A Common	4,128	4,128	D
2015 Performance Shares^F10	$0.00	holding	—	—	—	Dec 31, 2017	Aug 8, 1988	Class A Common	3,235	3,235	D

Explanation of responses

F1Class A Common Stock - 401k account - Held Indirect.
F10Performance Shares Award - granted 3/26/2015 - performance period is from January 1, 2015 to December 31, 2017. Awards will be available to the grantee at the end of the performance period provided that certain performance criteria are met. The actual number of shares earned could range from 0 to 200% of the number of Performance Shares granted. Fair market value on date of grant is $24.62 per share. There is no fixed expiration date.
F11Immediate - stocks are convertible at any time, there is no fixed exercisable date or expiration date.
F12Class B Common Stock - 401k account - Held indirect.
F2Shares are held in a street account.
F32005 Stock Option Grant - 25% exercisable 4/06/2007; 25% exercisable 4/06/2008; and 50% exersicable 4/06/2009.
F42006 Stock Option Grant - 25% exercisable on 4/04/2008; 25% exercisable on 4/04/2009; and 50% exersicable on 4/04/2010.
F52007 Stock Option Grant - 25% exercisable 3/29/2009; 25% exercisable 3/29/2010; and 50% exercisable 3/29/2011.
F62008 Stock Option Grant - 25% exercisable 6/18/2010; 25% exercisable 6/18/2011; and 50% exercisable 6/18/2012.
F7Stocks are convertible from Class B to Class A on a 1-for-1 basis.
F8Performance Shares Award - granted 4/08/2013 - performance period is from February 1, 2013 to December 31, 2016. Awards will be available to the grantee at the end of the performance period provided that certain performance criteria are met. The actual number of shares earned could range from 0 to 200% of the number of Performance Shares granted. Fair market value on date of grant is $17.60 per share. There is no fixed expiration date.
F9Performance Shares Award - granted 3/28/2014 - performance period is from January 1, 2014 to December 31, 2017. Awards will be available to the grantee at the end of the performance period provided that certain performance criteria are met. The actual number of shares earned could range from 0 to 200% of the number of Performance Shares granted. Fair market value on date of grant is $18.73 per share. There is no fixed expiration date.