SEC Form 4 · accession 0001111142-15-000001
FOREST CITY ENTERPRISES INC · FCEA/FCEB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott S Cowen
Director
Period of report
Mar 26, 2015
Accepted (ET)
Mar 30, 2015 · 3:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000038067
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF4 | Mar 26, 2015 | A | 4,467 | $0.00 | A | 4,467 | D | |
| Class A Common StockF1 | holding | — | — | — | 32,335 | D | ||
| Class A Common StockF2 | holding | — | — | — | 2,261 | D | ||
| Class A Common StockF3 | holding | — | — | — | 3,787 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2005 Stock Option Grant (right to buy)F5 | $31.75 | holding | — | — | — | Apr 6, 2007 | Apr 6, 2015 | Class A Common | 10,800 | 10,800 | D |
| 2006 Stock Option Grant (right to buy)F6 | $46.37 | holding | — | — | — | Apr 4, 2008 | Apr 4, 2016 | Class A Common | 10,800 | 10,800 | D |
| 2007 Stock Option Grant (right to buy)F7 | $65.35 | holding | — | — | — | Mar 29, 2009 | Mar 29, 2017 | Class A Common | 10,800 | 10,800 | D |
| 2009 Stock Option Grant (right to buy)F8 | $7.80 | holding | — | — | — | Apr 21, 2010 | Apr 21, 2019 | Class A Common | 10,966 | 10,966 | D |
Explanation of responses
- F1Shares are held in street account. 1,894 shares vested 4/08/2014; 2,261 shares vested 4/11/2014; 1,881 shares vested 4/13/2014 and 5,872 shares vested 3/28/2015; vested shares were transferred to this account.
- F22012 Restricted Stock Grant - 33.33% vest on 4/11/2013; 33.33% vest on 4/11/2014; and 33.33% vest on 4/11/2015. 2,261 shares vested on 4/13/2014 and were transferred to street account. See footnote 1.
- F32013 Restricted Stock Grant - 33.33% vest on 4/08/2014; 33.33% vest on 4/08/2015; and 33.33% vest on 4/08/2016. 1,894 shares vested 4/11/2014 and were transferred to the street account. See footnote 1.
- F42015 Restricted Stock Grant - 100% vest on 3/26/2016.
- F52005 Stock Option Grant - 25% exercisable 4/06/2007; 25% exercisable 4/06/2008; and 50% exersicable 4/06/2009.
- F62006 Stock Option Grant - 25% exercisable on 4/04/2008; 25% exercisable on 4/04/2009; and 50% exersicable on 4/04/2010.
- F72007 Stock Option Grant - 25% exercisable on 3/29/2009; 25% exercisable on 3/29/2010; and 50% exercisable on 3/29/2011.
- F82009 Stock Option Grant - 33.33% exercisable 4/21/2010; 33.33% exercisable 4/21/2011; and 33.33% exercisable 4/21/2012.