SEC Form 4 · accession 0001358902-18-000002
Forest City Realty Trust, Inc. · FCEA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur F Anton
Other
Period of report
Apr 13, 2018
Accepted (ET)
Apr 17, 2018 · 1:53 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 StockF2 | Apr 13, 2018 | M | 4,038 | $15.80 | A | 34,598 | D | |
| Class A Common StockF2 | Apr 13, 2018 | M | 4,463 | $17.72 | A | 39,061 | D | |
| Class A Common StockF2 | Apr 13, 2018 | M | 5,412 | $14.74 | A | 44,473 | D | |
| Class A Common StockF2 | Apr 13, 2018 | M | 4,557 | $17.60 | A | 49,030 | D | |
| Class A Common StockF2 | Apr 13, 2018 | M | 4,743 | $18.73 | A | 53,773 | D | |
| Class A Common StockF1 | holding | — | — | — | 19,888 | 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)F3 | $15.80 | Apr 13, 2018 | M | 4,038 | D | Dec 13, 2011 | Dec 13, 2020 | Class A Common | 4,038 | 0 | D |
| 2011 Stock Option Grant (right to buy)F4 | $17.72 | Apr 13, 2018 | M | 4,463 | D | Apr 13, 2012 | Apr 13, 2021 | Class A Common | 4,463 | 0 | D |
| 2012 Stock Option Grant (right to buy)F5 | $14.74 | Apr 13, 2018 | M | 5,412 | D | Apr 11, 2013 | Apr 11, 2022 | Class A Common | 5,412 | 0 | D |
| 2013 Stock Option Grant (right to buy)F6 | $17.60 | Apr 13, 2018 | M | 4,557 | D | Apr 8, 2014 | Apr 8, 2023 | Class A Common | 4,557 | 0 | D |
| 2014 Stock Option Grant (right to buy)F7 | $18.73 | Apr 13, 2018 | M | 4,743 | D | Mar 28, 2015 | Mar 28, 2024 | Class A Common | 4,743 | 0 | D |
Explanation of responses
- F1Direct registration account with transfer agent. 5,726 shares from the 2017 Restricted Stock Grant vested on 3/24/2018 and were transferred to this account.
- F2Shares held direct in street account.
- F32010 Stock Option Grant - 33.33% exercisable 12/13/2011; 33.33% exercisable 12/13/2012; and 33.33% exercisable 12/13/2013.
- F42011 Stock Option Grant - 33.33% exercisable 4/13/2012; 33.33% exercisable 4/13/2013; and 33.33% exercisable 4/13/2014.
- F52012 Stock Option Grant - 33.33% exercisable 4/11/2013; 33.33% exercisable 4/11/2014; and 33.33% exercisable 4/11/2015.
- F62013 Stock Option Grant - 33.33% exercisable 4/08/2014; 33.33% exercisable 4/08/2015; and 33.33% exercisable 4/08/2016.
- F72014 Stock Option Grant - 100% exercisable 3/28/2015.