SEC Form 4 · accession 0001379748-17-000002

Forest City Realty Trust, Inc. · FCEA

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

Reporting owner

Bruce C Ratner

Officer — Executive Vice President

Period of report

Mar 13, 2017

Accepted (ET)

Mar 14, 2017 · 4:31 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^F4,F5	Mar 13, 2017	C	2,727	$0.00	A	2,727	I	See footnote
Class A Common^F1	holding	—	—		—	22,500	D
Class A Common^F2	holding	—	—		—	15,000	I	See footnote

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class A Common Units^F5,F4,F6	$0.00	Mar 13, 2017	C	2,727	D	Nov 8, 2007	Aug 8, 1988	Class A Common Stock	666,158	663,431	I
Class A Common Units^F3,F6	$0.00	holding	—	—	—	Nov 8, 2007	Aug 8, 1988	Class A Common Stock	183,610	183,610	D

Explanation of responses

F1Share are held in a street account with Merrill Lynch.
F2Shares are held in a street account with Chase for the benefit of stepson Michael Carajohn, Bruce Ratner's spouse Pamela R. Lipkin is account custodian.
F3Class A Common Units of Forest City Master Associates III, LLC (a subsidiary of Forest City Realty Trust, Inc.) are convertible into Forest City Realty Trust, Inc. Class A Common Stock on a equal number basis or cash at the discretion of Forest City Realty Trust, Inc.
F4Class A Common Units are convertible into Forest City Realty Trust, Inc. Class A Common Stock on a equal number basis or cash at the discretion of Forest City Realty Trust, Inc.
F5Units are held indirectly through an entity (LLC, Trust etc.).
F6There is no expiration date.

Remarks

Subject to certain exceptions, the Class A Common Units were generally not convertible until November 8, 2007. Mr. Ratner disclaims beneficial ownership of all Class A Common Units, including any shares of Class A Common Stock into which such Class A Common Units are convertible, except to the extent of any direct or indirect pecuniary interest therein.