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4//SEC Filing

RATNER RONALD A 4

Accession 0001217465-18-000004

CIK 0001647509other
View on SEC.govCompany Profile

Filed

Feb 12, 7:00 PM ET

Accepted

Feb 13, 4:49 PM ET

Size

48.6 KB

Accession

0001217465-18-000004

Insider Transaction Report

Form 4
Period: 2017-10-16
Forest City Realty Trust, Inc.FCEA
RATNER RONALD A
DirectorExecutive Vice President10% Owner
Transactions
  • Sale

    Class A Common Stock

    2018-01-17$23.50/sh−1,460$34,310→ 67,500 total(indirect: See footnote)
  • Sale

    Class A Common Stock

    2017-10-16$25.28/sh−18,222$460,652→ 169,278 total(indirect: See footnote)
  • Sale

    Class A Common Stock

    2017-10-17$25.03/sh−11,778$294,803→ 157,500 total(indirect: See footnote)
  • Sale

    Class A Common Stock

    2017-11-16$24.97/sh−16,000$399,520→ 141,500 total(indirect: See footnote)
  • Sale

    Class A Common Stock

    2017-11-17$25.02/sh−14,000$350,280→ 127,500 total(indirect: See footnote)
  • Sale

    Class A Common Stock

    2017-12-18$24.43/sh−16,291$397,989→ 111,209 total(indirect: See footnote)
  • Sale

    Class A Common Stock

    2017-12-19$24.10/sh−10,268$247,459→ 100,941 total(indirect: See footnote)
  • Sale

    Class A Common Stock

    2018-01-16$23.66/sh−28,540$675,256→ 68,960 total(indirect: See footnote)
  • Sale

    Class A Common Stock

    2017-12-20$23.77/sh−3,441$81,793→ 97,500 total(indirect: See footnote)
Holdings

  • Class A Common Stock

    (indirect: See footnote)
    946,939

  • Class A Common Stock

    (indirect: See footnote)
    152,681

  • Class A Common Stock

    (indirect: See footnote)
    4,696

  • Class A Common Stock

    (indirect: See footnote)
    519,812

  • Class A Common Stock

    6,770

  • Class A Common Stock

    8,954

  • Class A Common Stock

    11,452

  • Class A Common Stock

    (indirect: See footnote)
    1,179

  • Class A Common Stock

    (indirect: See footnote)
    613,661

  • 2008 Stock Option Grant (right to buy)

    Exercise: $36.38From: 2010-06-18Exp: 2018-06-18→ Class A Common (17,721 underlying)
    17,721

  • 2009 Stock Option Grant (right to buy)

    Exercise: $7.80From: 2011-04-21Exp: 2019-04-21→ Class A Common (21,797 underlying)
    21,797

  • 2010 Stock Option Grant (right to buy)

    Exercise: $15.89From: 2012-04-14Exp: 2020-04-14→ Class A Common (36,635 underlying)
    36,635

  • 2011 Stock Option Grant (right to buy)

    Exercise: $17.72From: 2013-04-13Exp: 2021-04-13→ Class A Common (24,103 underlying)
    24,103

  • 2012 Stock Option Grant (right to buy)

    Exercise: $14.74From: 2014-04-11Exp: 2022-04-11→ Class A Common (32,477 underlying)
    32,477

  • 2013 Stock Option Grant (right to buy)

    Exercise: $17.60From: 2015-04-08Exp: 2023-04-08→ Class A Common (30,384 underlying)
    30,384

  • 2014 Stock Option Grant (right to buy)

    Exercise: $18.73From: 2016-03-28Exp: 2024-03-28→ Class A Common (28,745 underlying)
    28,745

  • 2014 Performance Shares

    Exercise: $0.00From: 2017-12-31Exp: 1988-08-08→ Class A Common (17,796 underlying)
    17,796

  • 2015 Performance Shares

    Exercise: $0.00From: 2017-12-31Exp: 1988-08-08→ Class A Common (13,539 underlying)
    13,539

  • 2016 Performance Shares

    Exercise: $0.00From: 2018-12-31Exp: 1988-08-08→ Class A Common (17,908 underlying)
    17,908

  • 2017 Performance Shares

    Exercise: $0.00From: 2019-12-31Exp: 1988-08-08→ Class A Common (17,178 underlying)
    17,178

  • 2015 Out Performance Shares

    Exercise: $0.00From: 2017-12-31Exp: 1988-08-08→ Class A Common (20,000 underlying)
    20,000
Footnotes (22)
  • [F1]The Ronald Ratner 1986 Trust Agreement, as modified (Ronald Ratner is Trustee). The Trust holds 946,939 shares of Class A Common Stock as follows: 637,600 shares held as a direct limited partner of RMS, Ltd.; and 309,339 shares directly.
  • [F10]Max Ratner Family 1999 Revocable Trust (Ronald Ratner is Trust Advisor). Trust holds 613,661 shares of Class A Common Stock as follows: 14,887 shares for the benefit of Sarah Ratner (daughter); 350,000 shares for Sarah Ratner as a limited partner in RMS Ltd.; 23,774 shares for the benefit of Matthew Ratner (son); and 225,000 for Matthew Ratner as a limited partner of RMS, Ltd. Ronald Ratner disclaims any beneficial interest.
  • [F11]2008 Stock Option Grant - 25% exercisable 6/18/2010; 25% exercisable 6/18/2011; and 50% exercisable 6/18/2012.
  • [F12]2009 Stock Option Grant - 25% exercisable 4/21/2011; 25% exercisable 4/21/2012; and 50% exercisable 4/21/2013.
  • [F13]2010 Stock Option Grant - 25% exercisable 4/14/2012; 25% exercisable 4/14/2013; and 50% exercisable 4/14/2014.
  • [F14]2011 Stock Option Grant - 25% exercisable 4/13/2013; 25% exercisable 4/13/2014; and 50% exercisable 4/13/2015.
  • [F15]2012 Stock Option Grant - 25% exercisable 4/11/2014; 25% exercisable 4/11/2015; and 50% exercisable 4/11/2016.
  • [F16]2013 Stock Option Grant - 25% exercisable 4/08/2015; 25% exercisable 4/08/2016; and 50% exercisable 4/08/2017.
  • [F17]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.
  • [F18]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.
  • [F19]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.
  • [F2]Deborah B. Ratner Trust - individually trust of spouse, shares held in street account.
  • [F20]Performance Shares Award - granted 3/23/2016 - performance period is from January 1, 2016 to December 31, 2018. 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 $20.94 per share. There is no fixed expiration date.
  • [F21]Performance Shares Award - granted 3/24/2017 - performance period is from January 1, 2017 to December 31, 2019. 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 $21.83 per share. There is no fixed expiration date.
  • [F22]Out Performance Shares Award - granted 3/27/2015 - 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 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]Deborah Ratner 2012 Irrev Trust (Ronald Ratner is Trustee). The sales reflected in Table I line 3 through 11 occurred pursuant to a Rule 10b5-1 Sales Plan, adopted on 09/12/2017. The sales were inadvertently omitted from filer's Form 4s filed on 10/18/2017, 11/20/2017, 12/20/2017, and 1/18/2018, respectively. The prices of $25.28, $25.03, $24.97, $25.02, $24.43, $24.10, $23.77, $26.66, and $23.50 represent weighted average of sales prices ranging from $25.16 to $25.45; from $24.94 to $25.25; from $24.80 to $25.09; from $24.89 to $25.16; from $24.33 to $24.65; from $24.03 to $24.28; from $23.59 to $24.07; from $23.50 to $23.84, and from $23.50 to $23.51 per share, respectively. Post-transactions, the Trust holds 67,500 shares of Class A Common Stock.
  • [F4]Deborah B. Ratner, Trustee of the Irene Meldon 1998 Irrevocable dated 12/04/1998. Trust holds 4,696 shares of Class A Common Stock as follows: 2,348 shares for benefit of Matthew (son); and 2,348 shares for benefit of Sarah (daughter). Ronald Ratner disclaims any beneficial interest.
  • [F5]Max Ratner Grandchildren's Trust dated 12/21/1988. The Trust holds 519,812 shares of Class A Common Stock as follows: 40,000 shares as a direct limited partner of RMS, Ltd. fbo Matthew Ratner (son); 161,578 directly fbo Matthew; 70,000 shares as a direct limited partner of RMS, Ltd. fbo Sarah Ratner (daughter); and 248,234 directly fbo Sarah. Ronald Ratner disclaims any beneficial interest.
  • [F6]2015 Restricted Stock Grant - 25% vested on 3/26/2016; 25% vested on 3/26/2017; and 50% vest on 3/26/2018.
  • [F7]2016 Restricted Stock Grant - 25% vested on 3/23/2017; 25% vest on 3/23/2018; and 50% vest on 3/23/2019.
  • [F8]2017 Restricted Stock Grant - 25% vest on 3/24/2018; 25% vest on 3/24/2019; and 50% vest on 3/24/2020.
  • [F9]General Partnership interest in RMS, Ltd Partnership.

Documents

2 files

Issuer

Forest City Realty Trust, Inc.

CIK 0001647509

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Entity typeother

Related Parties

1
  • filerCIK 0001217465

Filing Metadata

Form type
4
Filed
Feb 12, 7:00 PM ET
Accepted
Feb 13, 4:49 PM ET
Size
48.6 KB
View on SEC.gov