SEC Form 4 · accession 0001379748-17-000003

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 21, 2017

Accepted (ET)

Mar 23, 2017 · 10:50 am 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 21, 2017	S	2,265	$21.8156	D	462	I	See footnote
Class A Common^F4,F5	Mar 22, 2017	S	462	$21.6275	D	0	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^F3,F6	$0.00	holding	—	—	—	Nov 8, 2007	Aug 8, 1988	Class A Common Stock	183,610	183,610	D
Class A Common Units^F5,F4,F6	$0.00	holding	—	—	—	Nov 8, 2007	Aug 8, 1988	Class A Common Stock	663,431	663,431	I

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. 3/21/2017 - The price $21.8156 represents a weighed average of sales prices ranging from $21.695 per share to $21.95 per share. Full information regarding the number of shares sold at each separate price will be provided to the SEC, the issuer or a security holder of the issuer upon request. 3/22/2017 - The price $21.6275 represents a weighed average of sales prices ranging from $21.49 per share to $22.03 per share. Full information regarding the number of shares sold at each separate price will be provided to the SEC, the issuer or a security holder of the issuer upon request.
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.