SEC Form 4 · accession 0001537301-16-000008

Forest City Realty Trust, Inc. · FCEA

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

Reporting owner

Andrew J Passen

Officer — Exec VP - Human Resources

Period of report

Mar 16, 2016

Accepted (ET)

Mar 17, 2016 · 11:26 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 Stock^F1	Mar 16, 2016	M	2,219	$7.80	A	52,041	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2009 Stock Option Grant (right to buy)^F5	$7.80	Mar 16, 2016	M	2,219	D	Apr 21, 2011	Apr 21, 2019	Class A Common	4,430	2,211	D
2006 Stock Option Grant (right to buy)^F2	$46.37	holding	—	—	—	Apr 4, 2008	Apr 4, 2016	Class A Common	17,500	17,500	D
2007 Stock Option Grant (right to buy)^F3	$65.35	holding	—	—	—	Mar 29, 2009	Mar 29, 2017	Class A Common	17,500	17,500	D
2008 Stock Option Grant (right to buy)^F4	$36.38	holding	—	—	—	Jun 18, 2010	Jun 18, 2018	Class A Common	8,860	8,860	D
2010 Stock Option Grant (right to buy)^F6	$15.89	holding	—	—	—	Apr 14, 2012	Apr 14, 2020	Class A Common	7,387	7,387	D
2011 Stock Option Grant (right to buy)^F7	$17.72	holding	—	—	—	Apr 13, 2013	Apr 13, 2021	Class A Common	9,105	9,105	D
2013 Performance Shares^F8	$0.00	holding	—	—	—	Dec 31, 2016	Aug 8, 1988	Class A Common	6,282	6,282	D
2014 Performance Shares^F9	$0.00	holding	—	—	—	Dec 31, 2017	Aug 8, 1988	Class A Common	6,232	6,232	D
2015 Performance Shares^F10	$0.00	holding	—	—	—	Dec 31, 2017	Aug 8, 1988	Class A Common	4,741	4,741	D

Explanation of responses

F1Shares are held in street account with Securities America.
F10Performance Shares Award - granted 3/26/2015 - performance period is from January 1, 2015 to December 31, 2017. 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 $24.62 per share. There is no fixed expiration date.
F22006 Stock Option Grant - 25% exercisable 4/04/2008; 25% exercisable 4/04/2009; and 50% exersicable 4/04/2010.
F32007 Stock Option Grant - 25% exercisable 3/29/2009; 25% exercisable 3/29/2010; and 50% exercisable 3/29/2011.
F42008 Stock Option Grant - 25% exercisable 6/18/2010; 25% exercisable 6/18/2011; and 50% exercisable 6/18/2012.
F52009 Stock Option Grant - 25% exercisable 4/21/2011; 25% exercisable 4/21/2012; and 50% exercisable 4/21/2013.
F62010 Stock Option Grant - 25% exercisable 4/14/2012; 25% exercisable 4/14/2013; and 50% exercisable 4/14/2014.
F72011 Stock Option Grant - 25% exercisable 4/13/2013; 25% exercisable 4/13/2014; and 50% exercisable 4/13/2015.
F8Performance Shares Award - granted 4/08/2013 - performance period is from February 1, 2013 to December 31, 2016. 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 $17.60 per share. There is no fixed expiration date.
F9Performance Shares Award - granted 3/28/2014 - performance period is from January 1, 2014 to December 31, 2017. 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 $18.73 per share. There is no fixed expiration date.