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FCE.B Forest City Realty Trust, Inc. (delisted)

31.7338
0.00 (0.00%)
Pre Market
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Forest City Realty Trust, Inc. (delisted) NYSE:FCE.B NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 31.7338 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

18/09/2017 9:09pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

LARUE DAVID J
2. Issuer Name and Ticker or Trading Symbol

Forest City Realty Trust, Inc. [ FCEA ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
CEO & President
(Last)          (First)          (Middle)

50 PUBLIC SQUARE, SUITE 1100
3. Date of Earliest Transaction (MM/DD/YYYY)

6/12/2017
(Street)

CLEVELAND, OH 44113
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock                  14559.601   I   See footnote   (1) (26)
Class A Common Stock                  33564.722   I   See footnote   (2) (26)
Class A Common Stock                  16450   D   (3)
 
Class A Common Stock                  25184   D   (4)
 
Class A Common Stock                  32209   D   (5)
 
Class A Common Stock                  4812.922   I   See footnote   (6) (26)
Class A Common Stock                  4812.922   I   See footnote   (7) (26)
Class A Common Stock                  4812.922   I   See footnote   (8) (26)
Class A Common Stock                  16660   D   (9)
 
Class A Common Stock                  1843.247   D   (10) (26)
 
Class A Common Stock                  6835.374   I   See footnote   (11) (26)
Class A Common Stock                  3993.702   D   (12) (26)
 
Class A Common Stock                  211102   D   (13)
 
Class A Common Stock   6/12/2017     J (27)   V 1880   A   (27) 34006.4465   I   401k Plan   (14) (26)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Class B Common - Convertible   $0   (27) 6/12/2017     J   (27)   V    1435.4697    8/8/1988   (27) 8/8/1988   (27) Common Stock   1435.4697     (27) 0   I   401k Plan   (14)
2008 Stock Option Grant (right to buy)   $36.38                    6/18/2010   (15) 6/18/2018   Class A Common   28059     28059   D   (15)
 
2010 Stock Option Grant (right to buy)   $15.89                    4/14/2012   (16) 4/14/2020   Class A Common   26893     26893   D   (16)
 
2011 Stock Option Grant (right to buy)   $17.72                    4/13/2013   (17) 4/13/2021   Class A Common   64277     64277   D   (17)
 
2012 Stock Option Grant (right to buy)   $14.74                    4/11/2014   (18) 4/11/2022   Class A Common   77945     77945   D   (18)
 
2013 Stock Option Grant (right to buy)   $17.60                    4/8/2015   (19) 4/8/2023   Class A Common   65630     65630   D   (19)
 
2014 Stock Option Grant (right to buy)   $18.73                    3/28/2016   (20) 3/28/2024   Class A Common   62090     62090   D   (20)
 
2014 Performance Shares   $0                    12/31/2017   8/8/1988   (21) Class A Common   38441     38441   D   (21)
 
2015 Performance Shares   $0                    12/31/2017   8/8/1988   (22) Class A Common   32900     32900   D   (22)
 
2016 Performance Shares   $0                    12/31/2018   8/8/1988   (23) Class A Common   50367     50367   D   (23)
 
2017 Performance Shares   $0                    12/31/2019   8/8/1988   (24) Class A Common   48313     48313   D   (24)
 
2015 Out Performance Shares   $0                    12/31/2017   8/8/1988   (25) Class A Common   50000     50000   D   (25)
 

Explanation of Responses:
(1)  David J. LaRue Trust.
(2)  David LaRue Family Trust
(3)  2015 Restricted Stock Grant - 25% vest on 3/26/2016; 25% vest on 3/26/2017; and 50% vest on 3/26/2018.
(4)  2016 Restricted Stock Grant - 25% vest on 3/23/2017; 25% vest on 3/23/2018; and 50% vest on 3/23/2019.
(5)  2017 Restricted Stock Grant - 25% vest on 3/24/2018; 25% vest on 3/24/2019; and 50% vest on 3/24/2020.
(6)  Shares held by Andre LaRue, son, Cindy LaRue (spouse) is custodian on the account - Indirect
(7)  Shares held by Paul LaRue, son, Cindy LaRue (spouse) is custodian on the account - Indirect
(8)  Shares held by Tessa LaRue, daughter,
(9)  Shares are held in street account.
(10)  Shares held by David LaRue - Roth IRA
(11)  Shares are held by Cindy LaRue (spouse) in street account.
(12)  Shares are held by David LaRue & Cindy LaRue Trust account.
(13)  Shares are held by transfer agent in a direct registration account.
(14)  FCE's 401k Plan account, shares are held indirect.
(15)  2008 Stock Option Grant - 25% exercisable 6/18/2010; 25% exercisable 6/18/2011; and 50% exercisable 6/18/2012.
(16)  2010 Stock Option Grant - 25% exercisable 4/14/2012; 25% exercisable 4/14/2013; and 50% exercisable 4/14/2014.
(17)  2011 Stock Option Grant - 25% exercisable 4/13/2013; 25% exercisable 4/13/2014; and 50% exercisable 4/13/2015.
(18)  2012 Stock Option Grant - 25% exercisable 4/11/2014; 25% exercisable 4/11/2015; and 50% exercisable 4/11/2016.
(19)  2013 Stock Option Grant - 25% exercisable 4/08/2015; 25% exercisable 4/08/2016; and 50% exercisable 4/08/2017.
(20)  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.
(21)  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.
(22)  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.
(23)  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.
(24)  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.
(25)  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.
(26)  Accounts with automatic dividend reinvestment have been updated to reflect current balances.
(27)  Pursuant to a reclassification exempt under Rule 16b-7, each share of Class B common stock was reclassified and exchanged into 1.31 shares of Class A common stock and cash in lieu of fractional shares. Acquisition and dispositions in the reclassification are also exempt under Rule 16b-3(d) and (e), respectively. There was no fixed exercise date or expiration date prior to the reclassification.

Remarks:
Accounts with automatic dividend reinvestment have been updated to reflect current balances.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
LARUE DAVID J
50 PUBLIC SQUARE, SUITE 1100
CLEVELAND, OH 44113
X
CEO & President

Signatures
J. Matthew Shady, Attorney-In-Fact for David J. LaRue 9/18/2017
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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