SEC Form 4 · accession 0001358902-15-000001
FOREST CITY ENTERPRISES INC · FCEA/FCEB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur F Anton
Director
Period of report
Mar 26, 2015
Accepted (ET)
Mar 30, 2015 · 5:47 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 | — | — | — | 1,131 | D | ||
| Class A Common StockF2 | holding | — | — | — | 1,893 | D | ||
| Class A Common StockF4 | holding | — | — | — | 2,936 | D | ||
| Class A Common StockF5 | holding | — | — | — | 15,560 | 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)F11 | $24.62 | Mar 26, 2015 | A | 7,060 | A | Mar 26, 2016 | Mar 26, 2025 | Class A Common | 7,060 | 7,060 | D |
| 2010 Stock Option Grant (right to buy)F6 | $15.80 | holding | — | — | — | Dec 13, 2011 | Dec 13, 2020 | Class A Common | 4,038 | 4,038 | D |
| 2011 Stock Option Grant (right to buy)F7 | $17.72 | holding | — | — | — | Apr 13, 2012 | Apr 13, 2021 | Class A Common | 4,463 | 4,463 | D |
| 2012 Stock Option Grant (right to buy)F8 | $14.74 | holding | — | — | — | Apr 11, 2013 | Apr 11, 2022 | Class A Common | 5,412 | 5,412 | D |
| 2013 Stock Option Grant (right to buy)F9 | $17.60 | holding | — | — | — | Apr 8, 2014 | Apr 8, 2023 | Class A Common | 4,557 | 4,557 | D |
| 2014 Stock Option Grant (right to buy)F10 | $18.73 | holding | — | — | — | Mar 28, 2015 | Mar 28, 2024 | Class A Common | 4,743 | 4,743 | D |
Explanation of responses
- F12011 Restricted Stock Grant - 33.33% vest on 4/13/2012; 33.33% vest on 4/13/2013; and 33.33% vest on 4/13/2014. 1,130 shares vested on 4/13/2014 and were transferred to street account. See footnote #5.
- F102014 Stock Option Grant - 100% exercisable 3/28/2015.
- F112015 Stock Option Grant - 100% exercisable 3/26/2016.
- 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 on 4/08/2014 and were transferred to street account. See footnote #5.
- F32015 Restricted Stock Grant - 100% vest on 3/26/2016.
- F4Alll shares from the 2014 Restricted Stock Grant vested on 3/28/2015 and were transferred to a direct registration account with transfer agent Wells Fargo.
- F5Shares held direct in street account. 947 shares vested on 4/08/2014; 1,130 shares vested on 4/13/2014; vested shares were transferred to this account.
- F62010 Stock Option Grant - 33.33% exercisable 12/13/2011; 33.33% exercisable 12/13/2012; and 33.33% exercisable 12/13/2013.
- F72011 Stock Option Grant - 33.33% exercisable 4/13/2012; 33.33% exercisable 4/13/2013; and 33.33% exercisable 4/13/2014.
- F82012 Stock Option Grant - 33.33% exercisable 4/11/2013; 33.33% exercisable 4/11/2014; and 33.33% exercisable 4/11/2015.
- F92013 Stock Option Grant - 33.33% exercisable 4/08/2014; 33.33% exercisable 4/08/2015; and 33.33% exercisable 4/08/2016.