SEC Form 4 · accession 0001217406-15-000002

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

Nov 30, 2015

Accepted (ET)

Dec 1, 2015 · 1:36 pm EST

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^F3	Nov 20, 2015	G	3,930	$0.00	D	44,495	D
Class A Common Stock^F3	Nov 30, 2015	M	4,200	$14.74	A	48,695	D
Class A Common Stock^F1	holding	—	—		—	947	D
Class A Common Stock^F2	holding	—	—		—	2,233	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2012 Stock Option Grant (right to buy)^F9	$14.74	Nov 30, 2015	M	4,200	D	Apr 11, 2013	Apr 11, 2022	Class A Common	10,825	6,625	D
2006 Stock Option Grant (right to buy)^F4	$46.37	holding	—	—	—	Apr 4, 2008	Apr 4, 2016	Class A Common	10,800	10,800	D
2007 Stock Option Grant (right to buy)^F5	$65.35	holding	—	—	—	Mar 29, 2009	Mar 29, 2017	Class A Common	10,800	10,800	D
2008 Stock Option Grant (right to buy)^F6	$37.68	holding	—	—	—	Apr 7, 2009	Apr 7, 2018	Class A Common	5,319	5,319	D
2010 Stock Option Grant (right to buy)^F7	$15.89	holding	—	—	—	Apr 14, 2011	Apr 14, 2020	Class A Common	2,001	2,001	D
2011 Stock Option Grant (right to buy)^F8	$17.72	holding	—	—	—	Apr 13, 2012	Apr 13, 2021	Class A Common	2,231	2,231	D
2013 Stock Option Grant (right to buy)^F10	$17.60	holding	—	—	—	Apr 8, 2014	Apr 8, 2023	Class A Common	4,557	4,557	D
2014 Stock Option Grant (right to buy)^F11	$18.73	holding	—	—	—	Mar 28, 2015	Mar 28, 2024	Class A Common	4,743	4,743	D
2015 Stock Option Grant (right to buy)^F12	$24.62	holding	—	—	—	Mar 26, 2016	Mar 26, 2025	Class A Common	7,060	7,060	D
Phantom Stock Dividend Equivalent Rights^F15,F13,F14	$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. 946 shares vested on 4/08/2015 and were transferred to brokerage account. See footnote #3.
F102013 Stock Option Grant - 33.33% exercisable 4/08/2014; 33.33% exercisable 4/08/2015; and 33.33% exercisable 4/08/2016.
F112014 Stock Option Grant - 100% exercisable 3/28/2015.
F122015 Stock Option Grant - 100% exercisable 3/26/2016.
F13Exercisable at retirement, termination, death or disability.
F14No present expiration date.
F15Phantom 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.
F3Shares held direct in street account. 946 shares vested on 4/08/2015 and were transferred to this aacount.
F42006 Stock Option Grant - 25% exercisable 4/04/2008; 25% exercisable 4/04/2009; and 50% exersicable 4/04/2010.
F52007 Stock Option Grant - 25% exercisable 3/29/2009; 25% exercisable 3/29/2010; and 50% exercisable 3/29/2011.
F62008 Stock Option Grant - 33.33% exercisable 4/07/2009; 33.33% exercisable 4/07/2010; and 33.33% exercisable 4/07/2011.
F72010 Stock Option Grant - 33.33% exercisable 4/14/2011; 33.33% exercisable 4/14/2012; and 33.33% exercisable 4/14/2013.
F82011 Stock Option Grant - 33.33% exercisable 4/13/2012; 33.33% exercisable 4/13/2013; and 33.33% exercisable 4/13/2014.
F92012 Stock Option Grant - 33.33% exercisable 4/11/2013; 33.33% exercisable 4/11/2014; and 33.33% exercisable 4/11/2015.