SEC Form 4 · accession 0001204117-15-000001
FOREST CITY ENTERPRISES INC · FCEA/FCEB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth J Bacon
Director
Period of report
Mar 26, 2015
Accepted (ET)
Mar 30, 2015 · 5:32 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 StockF3 | Mar 26, 2015 | A | 2,233 | $0.00 | A | 2,233 | D | |
| Class A Common StockF1 | holding | — | — | — | 2,166 | D | ||
| Class A Common StockF2 | holding | — | — | — | 1,893 | D | ||
| Class A Common StockF4 | holding | — | — | — | 9,682 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2015 Stock Option Grant (right to buy)F7 | $24.62 | Mar 26, 2015 | A | 7,060 | A | Mar 26, 2016 | Mar 26, 2025 | Class A Common | 7,060 | 7,060 | D |
| 2013 Stock Option Grant (right to buy)F5 | $17.60 | holding | — | — | — | Apr 8, 2014 | Apr 8, 2023 | Class A Common | 4,557 | 4,557 | D |
| 2014 Stock Option Grant (right to buy)F6 | $18.73 | holding | — | — | — | Mar 28, 2015 | Mar 28, 2024 | Class A Common | 2,371 | 2,371 | D |
Explanation of responses
- F12012 Restricted Stock Grant - 33.33% vest on 12/03/2013; 33.33% vest on 12/03/2014; and 33.33% vest on 12/03/2015. 2,165 shares vested 12/03/2014 and were transferred to direct reigistration account. See footnote #4.
- F22013 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. 947 shares vested 4/08/2014 and were transferred to direct reigistration account. See footnote #4.
- F32015 Restricted Stock Grant - 100% vest on 3/26/2016.
- F4Shares are held by transfer agent in a direct registration account. 947 shares vested 4/08/2014; 2,165 shares vested 12/03/2014 and 4,404 shares vested 3/28/2015; all vested shares were transferred to this account.
- F52013 Stock Option Grant - 33.33% exercisable 4/08/2014; 33.33% exercisable 4/08/2015; and 33.33% exercisable 4/08/2016.
- F62014 Stock Option Grant - 100% exercisable 3/28/2015;
- F72015 Stock Option Grant - 100% exercisable 3/26/2016.