SEC Form 4 · accession 0001358902-16-000003
Forest City Realty Trust, Inc. · FCEA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur F Anton
Director
Period of report
Dec 9, 2016
Accepted (ET)
Dec 12, 2016 · 3:16 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 StockF3 | Dec 9, 2016 | P | 15,000 | $21.296 | A | 30,560 | D | |
| Class A Common StockF1 | holding | — | — | — | 5,969 | D | ||
| Class A Common StockF2 | holding | — | — | — | 8,193 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2010 Stock Option Grant (right to buy)F4 | $15.80 | holding | — | — | — | Dec 13, 2011 | Dec 13, 2020 | Class A Common | 4,038 | 4,038 | D |
| 2011 Stock Option Grant (right to buy)F5 | $17.72 | holding | — | — | — | Apr 13, 2012 | Apr 13, 2021 | Class A Common | 4,463 | 4,463 | D |
| 2012 Stock Option Grant (right to buy)F6 | $14.74 | holding | — | — | — | Apr 11, 2013 | Apr 11, 2022 | Class A Common | 5,412 | 5,412 | D |
| 2013 Stock Option Grant (right to buy)F7 | $17.60 | holding | — | — | — | Apr 8, 2014 | Apr 8, 2023 | Class A Common | 4,557 | 4,557 | D |
| 2014 Stock Option Grant (right to buy)F8 | $18.73 | holding | — | — | — | Mar 28, 2015 | Mar 28, 2024 | Class A Common | 4,743 | 4,743 | D |
| 2015 Stock Option Grant (right to buy)F9 | $24.62 | holding | — | — | — | Mar 26, 2016 | Mar 26, 2025 | Class A Common | 7,060 | 7,060 | D |
Explanation of responses
- F12016 Restricted Stock Grant - 100% vest on 3/23/2017.
- F2Direct registration account with transfer agent Wells Fargo. 947 shares from the 4/08/2013 restricted stock grant vested on 4/08/2016 and were transferred to this account. 2,233 shares from the 3/26/2015 reatricted stock grant vested on 3/26/2016 and were transferred to this account.
- F3Shares held direct in street account. The price $21.2960 represents a weighed average of purchase prices ranging from $21.2399 per share to $21.3499 per share. Full information regarding the number of shares purchased at each separate price will be provided to the SEC, the issuer or a security holder of the issuer upon request.
- F42010 Stock Option Grant - 33.33% exercisable 12/13/2011; 33.33% exercisable 12/13/2012; and 33.33% exercisable 12/13/2013.
- F52011 Stock Option Grant - 33.33% exercisable 4/13/2012; 33.33% exercisable 4/13/2013; and 33.33% exercisable 4/13/2014.
- F62012 Stock Option Grant - 33.33% exercisable 4/11/2013; 33.33% exercisable 4/11/2014; and 33.33% exercisable 4/11/2015.
- F72013 Stock Option Grant - 33.33% exercisable 4/08/2014; 33.33% exercisable 4/08/2015; and 33.33% exercisable 4/08/2016.
- F82014 Stock Option Grant - 100% exercisable 3/28/2015.
- F92015 Stock Option Grant - 100% exercisable 3/26/2016.