SEC Form 4 · accession 0001217454-18-000004

Forest City Realty Trust, Inc. · FCEA

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

Reporting owner

David J Larue

Officer — CEO & President · Director

Period of report

Mar 20, 2018

Accepted (ET)

Mar 22, 2018 · 6:17 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^F6	Mar 20, 2018	A	34,780	$0.00	A	34,780	D
Class A Common Stock^F1	holding	—	—		—	14,849	I	See footnote
Class A Common Stock^F2	holding	—	—		—	33,565	I	See footnote
Class A Common Stock^F3	holding	—	—		—	16,450	D
Class A Common Stock^F4	holding	—	—		—	25,184	D
Class A Common Stock^F5	holding	—	—		—	32,209	D
Class A Common Stock^F7	holding	—	—		—	4,867	I	See footnote
Class A Common Stock^F8	holding	—	—		—	4,867	I	See footnote
Class A Common Stock^F9	holding	—	—		—	4,867	I	See footnote
Class A Common Stock^F10	holding	—	—		—	16,660	D
Class A Common Stock^F11	holding	—	—		—	1,880	D
Class A Common Stock^F12	holding	—	—		—	6,971	I	See footnote
Class A Common Stock^F13	holding	—	—		—	4,073	D
Class A Common Stock^F14	holding	—	—		—	219,820	D
Class A Common Stock^F15	holding	—	—		—	34,671	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
2018 Performance Shares^F24	$0.00	Mar 20, 2018	A	52,170	A	Dec 31, 2020	Aug 8, 1988	Class A Common	52,170	52,170	D
2008 Stock Option Grant (right to buy)^F16	$36.38	holding	—	—	—	Jun 18, 2010	Jun 18, 2018	Class A Common	28,059	28,059	D
2010 Stock Option Grant (right to buy)^F17	$15.89	holding	—	—	—	Apr 14, 2012	Apr 14, 2020	Class A Common	900	25,993	D
2010 Stock Option Grant (right to buy)^F17	$15.89	holding	—	—	—	Apr 14, 2012	Apr 14, 2020	Class A Common	9,355	16,638	D
2011 Stock Option Grant (right to buy)^F18	$17.72	holding	—	—	—	Apr 13, 2013	Apr 13, 2021	Class A Common	64,277	64,277	D
2012 Stock Option Grant (right to buy)^F19	$14.74	holding	—	—	—	Apr 11, 2014	Apr 11, 2022	Class A Common	77,945	77,945	D
2013 Stock Option Grant (right to buy)^F20	$17.60	holding	—	—	—	Apr 8, 2015	Apr 8, 2023	Class A Common	65,630	65,630	D
2014 Stock Option Grant (right to buy)^F21	$18.73	holding	—	—	—	Mar 28, 2016	Mar 28, 2024	Class A Common	62,090	62,090	D
2016 Performance Shares^F22	$0.00	holding	—	—	—	Dec 31, 2018	Aug 8, 1988	Class A Common	50,367	50,367	D
2017 Performance Shares^F23	$0.00	holding	—	—	—	Dec 31, 2019	Aug 8, 1988	Class A Common	48,313	48,313	D

Explanation of responses

F1David J. LaRue Trust.
F10Shares are held in street account.
F11Shares held by David LaRue - Roth IRA
F12Shares are held by Cindy LaRue (spouse) in street account.
F13Shares are held by David LaRue & Cindy LaRue Trust account.
F14Shares are held by transfer agent in a direct registration account.
F15FCE's 401k Plan account, shares are held indirect. Updated to reflect current holdings.
F162008 Stock Option Grant - 25% exercisable 6/18/2010; 25% exercisable 6/18/2011; and 50% exercisable 6/18/2012.
F172010 Stock Option Grant - 25% exercisable 4/14/2012; 25% exercisable 4/14/2013; and 50% exercisable 4/14/2014.
F182011 Stock Option Grant - 25% exercisable 4/13/2013; 25% exercisable 4/13/2014; and 50% exercisable 4/13/2015.
F192012 Stock Option Grant - 25% exercisable 4/11/2014; 25% exercisable 4/11/2015; and 50% exercisable 4/11/2016.
F2David LaRue Family Trust
F202013 Stock Option Grant - 25% exercisable 4/08/2015; 25% exercisable 4/08/2016; and 50% exercisable 4/08/2017.
F212014 Stock Option Grant - 25% exercisable 3/28/2016; 25% exercisable 3/28/2017; and 50% exercisable 3/28/2018.
F22Performance Shares Award - granted 3/23/2016 - performance period is from January 1, 2016 to December 31, 2018. 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 $20.94 per share. There is no fixed expiration date.
F23Performance Shares Award - granted 3/24/2017 - performance period is from January 1, 2017 to December 31, 2019. 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 $21.83 per share. There is no fixed expiration date.
F24Performance Shares Award - granted 3/20/2018 - performance period is from January 1, 2018 to December 31, 2020. 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 $20.89 per share. There is no fixed expiration date.
F32015 Restricted Stock Grant - 25% vest on 3/26/2016; 25% vest on 3/26/2017; and 50% vest on 3/26/2018.
F42016 Restricted Stock Grant - 25% vest on 3/23/2017; 25% vest on 3/23/2018; and 50% vest on 3/23/2019.
F52017 Restricted Stock Grant - 25% vest on 3/24/2018; 25% vest on 3/24/2019; and 50% vest on 3/24/2020.
F62018 Restricted Stock Grant - 25% vest on 3/24/2019; 25% vest on 3/24/2020; and 50% vest on 3/24/2021.
F7Shares held by Andre LaRue, son, Cindy LaRue (spouse) is custodian on the account - Indirect
F8Shares held by Paul LaRue, son, Cindy LaRue (spouse) is custodian on the account - Indirect
F9Shares held by Tessa LaRue, daughter,

Remarks

Accounts with automatic dividend reinvestment have been updated to reflect current balances.