SEC Form 4 · accession 0001217406-15-000001

FOREST CITY ENTERPRISES INC · FCEA/FCEB

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

Reporting owner

Stan Ross

Director

Period of report

Mar 26, 2015

Accepted (ET)

Mar 30, 2015 · 5:46 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
Class A Common Stock^F2	Mar 26, 2015	A	2,233	$0.00	A	2,233	D
Class A Common Stock^F1	holding	—	—		—	1,893	D
Class A Common Stock^F3	holding	—	—		—	47,479	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)^F13	$24.62	Mar 26, 2015	A	7,060	A	Mar 26, 2016	Mar 26, 2025	Class A Common	7,060	7,060	D
2005 Stock Option Grant (right to buy)^F4	$31.75	holding	—	—	—	Apr 6, 2007	Apr 6, 2015	Class A Common	10,800	10,800	D
2006 Stock Option Grant (right to buy)^F5	$46.37	holding	—	—	—	Apr 4, 2008	Apr 4, 2016	Class A Common	10,800	10,800	D
2007 Stock Option Grant (right to buy)^F6	$65.35	holding	—	—	—	Mar 29, 2009	Mar 29, 2017	Class A Common	10,800	10,800	D
2008 Stock Option Grant (right to buy)^F7	$37.68	holding	—	—	—	Apr 7, 2009	Apr 7, 2018	Class A Common	5,319	5,319	D
2010 Stock Option Grant (right to buy)^F8	$15.89	holding	—	—	—	Apr 14, 2011	Apr 14, 2020	Class A Common	2,001	2,001	D
2011 Stock Option Grant (right to buy)^F9	$17.72	holding	—	—	—	Apr 13, 2012	Apr 13, 2021	Class A Common	2,231	2,231	D
2012 Stock Option Grant (right to buy)^F10	$14.74	holding	—	—	—	Apr 11, 2013	Apr 11, 2022	Class A Common	10,825	10,825	D
2013 Stock Option Grant (right to buy)^F11	$17.60	holding	—	—	—	Apr 8, 2014	Apr 8, 2023	Class A Common	4,557	4,557	D
2014 Stock Option Grant (right to buy)^F12	$18.73	holding	—	—	—	Mar 28, 2015	Mar 28, 2024	Class A Common	4,743	4,743	D
Phantom Stock Dividend Equivalent Rights^F16,F14,F15	$0.00	holding	—	—	—	Aug 8, 1988	Aug 8, 1988	Class A Common	12,382	12,382	D

Explanation of responses

F12013 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 on 4/08/2014 and were transferred to brokerage account. See footnote #3.
F102012 Stock Option Grant - 33.33% exercisable 4/11/2013; 33.33% exercisable 4/11/2014; and 33.33% exercisable 4/11/2015.
F112013 Stock Option Grant - 33.33% exercisable 4/08/2014; 33.33% exercisable 4/08/2015; and 33.33% exercisable 4/08/2016.
F122014 Stock Option Grant - 100% exercisable 3/28/2015.
F132015 Stock Option Grant - 100% exercisable 3/26/2016.
F14Exercisable at retirement, termination, death or disability.
F15No present expiration date.
F16Phantom Stock - 1-for-1 - Deferred compensation plan contributions. Plan requires participants to make a annual defined election. Mr. Ross is currently not contributing to the Plan.
F22015 Restricted Stock Grant - 100% vest on 3/26/2016. 1,411 shares vested on 4/13/2014; 947 shares vested on 4/08/2014 and 2,936 shares vested on 3/28/2015; vested shares were transferred to this account.
F3Shares held direct in street account.
F42005 Stock Option Grant - 25% exercisable 4/06/2007; 25% exercisable 4/06/2008; and 50% exersicable 4/06/2009.
F52006 Stock Option Grant - 25% exercisable 4/04/2008; 25% exercisable 4/04/2009; and 50% exersicable 4/04/2010.
F62007 Stock Option Grant - 25% exercisable 3/29/2009; 25% exercisable 3/29/2010; and 50% exercisable 3/29/2011.
F72008 Stock Option Grant - 33.33% exercisable 4/07/2009; 33.33% exercisable 4/07/2010; and 33.33% exercisable 4/07/2011.
F82010 Stock Option Grant - 33.33% exercisable 4/14/2011; 33.33% exercisable 4/14/2012; and 33.33% exercisable 4/14/2013.
F92011 Stock Option Grant - 33.33% exercisable 4/13/2012; 33.33% exercisable 4/13/2013; and 33.33% exercisable 4/13/2014.