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4//SEC Filing

FOREST CITY ENTERPRISES INC 4

Accession 0001217455-15-000006

CIK 0000038067operating
View on SEC.govCompany Profile

Filed

Dec 28, 7:00 PM ET

Accepted

Dec 29, 7:27 PM ET

Size

37.3 KB

Accession

0001217455-15-000006

Insider Transaction Report

Form 4
Period: 2015-12-28
FOREST CITY ENTERPRISES INCFCEA/FCEB
OBRIEN ROBERT G
Exec VP & CFO
Transactions
  • Sale

    Class A Common Stock

    2015-12-28$21.23/sh−14,626$310,462→ 46,645 total(indirect: See footnote)
Holdings

  • Class A Common Stock

    (indirect: See footnote)
    11,143

  • 2010 Stock Option Grant (right to buy)

    Exercise: $15.89From: 2012-04-14Exp: 2020-04-14→ Class A Common (26,893 underlying)
    26,893

  • 2013 Performance Shares

    Exercise: $0.00From: 2016-12-31Exp: 1988-08-08→ Class A Common (19,734 underlying)
    19,734

  • 2014 Performance Shares

    Exercise: $0.00From: 2017-12-31Exp: 1988-08-08→ Class A Common (19,576 underlying)
    19,576

  • 2007 Stock Option Grant (right to buy)

    Exercise: $65.35From: 2009-03-29Exp: 2017-03-29→ Class A Common (25,200 underlying)
    25,200

  • 2008 Stock Option Grant (right to buy)

    Exercise: $36.38From: 2010-06-18Exp: 2018-06-18→ Class A Common (28,059 underlying)
    28,059

  • 2013 Stock Option Grant (right to buy)

    Exercise: $17.60From: 2015-04-08Exp: 2023-04-08→ Class A Common (33,422 underlying)
    33,422

  • 2014 Stock Option Grant (right to buy)

    Exercise: $18.73From: 2016-03-28Exp: 2024-03-28→ Class A Common (31,620 underlying)
    31,620

  • Class A Common Stock

    32,601

  • Class A Common Stock

    22,690

  • Class A Common Stock

    (indirect: See footnote)
    11,127

  • Class A Common Stock

    162,826

  • 2009 Stock Option Grant (right to buy)

    Exercise: $7.80From: 2011-04-21Exp: 2019-04-21→ Class A Common (7,011 underlying)
    7,011

  • Class A Common Stock

    (indirect: See footnote)
    29,166

  • 2011 Stock Option Grant (right to buy)

    Exercise: $17.72From: 2013-04-13Exp: 2021-04-13→ Class A Common (38,547 underlying)
    38,547

  • Class A Common Stock

    28,833

  • Class A Common Stock

    (indirect: See footnote)
    11,143

  • 2012 Performance Shares

    Exercise: $0.00From: 2015-12-31Exp: 1988-08-08→ Class A Common (24,875 underlying)
    24,875

  • Class A Common Stock

    36,222

  • 2006 Stock Option Grant (right to buy)

    Exercise: $46.37From: 2008-04-04Exp: 2016-04-04→ Class A Common (25,200 underlying)
    25,200

  • 2012 Stock Option Grant (right to buy)

    Exercise: $14.74From: 2014-04-11Exp: 2022-04-11→ Class A Common (39,694 underlying)
    39,694

  • 2015 Performance Shares

    Exercise: $0.00From: 2017-12-31Exp: 1988-08-08→ Class A Common (15,339 underlying)
    15,339

  • 2015 Out Performance Shares

    Exercise: $0.00From: 2017-12-31Exp: 1988-08-08→ Class A Common (40,000 underlying)
    40,000
Footnotes (24)
  • [F1]2013 GRAT for Robert G. O'Brien.
  • [F10]Shares are held by Robert & Ann (wife) O'Brien in a street account at Commonwealth.
  • [F11]2006 Stock Option Grant - 25% exercisable 4/04/2008; 25% exercisable 4/04/2009; and 50% exersicable 4/04/2010.
  • [F12]2007 Stock Option Grant - 25% exercisable 3/29/2009; 25% exercisable 3/29/2010; and 50% exercisable 3/29/2011.
  • [F13]2008 Stock Option Grant - 25% exercisable 6/18/2010; 25% exercisable 6/18/2011; and 50% exercisable 6/18/2012.
  • [F14]2009 Stock Option Grant - 25% exercisable 4/21/2011; 25% exercisable 4/21/2012; and 50% exercisable 4/21/2013.
  • [F15]2010 Stock Option Grant - 25% exercisable 4/14/2012; 25% exercisable 4/14/2013; and 50% exercisable 4/14/2014.
  • [F16]2011 Stock Option Grant - 25% exercisable 4/13/2013; 25% exercisable 4/13/2014; and 50% exercisable 4/13/2015.
  • [F17]2012 Stock Option Grant - 25% exercisable 4/11/2014; 25% exercisable 4/11/2015; and 50% exercisable 4/11/2016.
  • [F18]2013 Stock Option Grant - 25% exercisable 4/08/2015; 25% exercisable 4/08/2016; and 50% exercisable 4/08/2017.
  • [F19]2014 Stock Option Grant - 0% exercisable 3/28/2015; 25% exercisable 3/28/2016; 25% exercisable 3/28/2017; and 50% exercisable 3/28/2018.
  • [F2]Robert G. O'Brien Trust - account with Schwab . The price $21.2267 represents a weighed average of sales prices ranging from $21.15 per share to $21.30 per share. Full information regarding the number of shares sold at each separate price will be provided to the SEC, the issuer or a security holder of the issuer upon request.
  • [F20]Performance Shares Award - granted 4/11/2012 - performance period is from February 1, 2012 to December 31, 2015. Awards will be available to the grantee at the end of the performance period provided that certain performance criteria are met. The actual number of shares earned could range from 0 to 200% of the number of Performance Shares granted. Fair market value on date of grant is $14.74 per share. There is no fixed expiration date.
  • [F21]Performance Shares Award - granted 4/08/2013 - performance period is from February 1, 2013 to December 31, 2016. Awards will be available to the grantee at the end of the performance period provided that certain performance criteria are met. The actual number of shares earned could range from 0 to 200% of the number of Performance Shares granted. Fair market value on date of grant is $17.60 per share. There is no fixed expiration date.
  • [F22]Performance Shares Award - granted 3/28/2014 - performance period is from January 1, 2014 to December 31, 2017. Awards will be available to the grantee at the end of the performance period provided that certain performance criteria are met. The actual number of shares earned could range from 0 to 200% of the number of Performance Shares granted. Fair market value on date of grant is $18.73 per share. There is no fixed expiration date.
  • [F23]Performance Shares Award - granted 3/26/2015 - performance period is from January 1, 2015 to December 31, 2017. Awards will be available to the grantee at the end of the performance period provided that certain performance criteria are met. The actual number of shares earned could range from 0 to 200% of the number of Performance Shares granted. Fair market value on date of grant is $24.62 per share. There is no fixed expiration date.
  • [F24]Out Performance Shares Award - granted 3/27/2015 - performance period is from January 1, 2015 to December 31, 2017. Awards will vest 50% on December 31, 2017 and 50% on December 31, 2018 and will be available to the grantee provided that certain performance criteria are met. The actual number of shares earned could range from 0 to 300% of the number of Performance Shares granted. Fair market value on date of grant is $25.31 per share. There is no fixed expiration date.
  • [F3]2012 Restricted Stock Grant - 25% vest on 4/11/2014; 25% vest on 4/11/2015; and 50% vest on 4/11/2016.
  • [F4]2013 Restricted Stock Grant - 25% vest on 4/08/2015; 25% vest on 4/08/2016; and 50% vest on 4/08/2017.
  • [F5]2014 Restricted Stock Grant - 0% vest on 3/28/2015; 25% vest on 3/28/2016; 25% vest on 3/28/2017; and 50% vest on 3/28/2018.
  • [F6]2015 Restricted Stock Grant - 25% vest on 3/26/2016; 25% vest on 3/26/2017; and 50% vest on 3/26/2018.
  • [F7]Shares held by Robert L. O'Brien, son - Indirect
  • [F8]Shares held by Kathleen G. O'Brien, daughter - Indirect
  • [F9]Shares held by Sara F. O'Brien, daughter - Indirect

Documents

2 files

Issuer

FOREST CITY ENTERPRISES INC

CIK 0000038067

→
Entity typeoperating
IncorporatedOH

Related Parties

1
  • filerCIK 0000038067

Filing Metadata

Form type
4
Filed
Dec 28, 7:00 PM ET
Accepted
Dec 29, 7:27 PM ET
Size
37.3 KB
View on SEC.gov