UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 10-K/A
Amendment No. 1
(Mark One)
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ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended January 31, 2009
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to
Commission file number 1-4372
FOREST CITY ENTERPRISES, INC.
(Exact name of registrant as specified in its charter)
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Ohio
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34-0863886 |
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(State or other jurisdiction of
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(I.R.S. Employer |
incorporation or organization)
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Identification No.) |
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Terminal Tower
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50 Public Square |
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Suite 1100
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Cleveland, Ohio
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44113 |
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(Address of principal executive offices)
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(Zip Code) |
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Registrants telephone number, including area code |
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216-621-6060 |
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Securities registered pursuant to Section 12(b) of the Act:
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Name of each exchange on |
Title of each class |
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which registered |
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Class A Common Stock ($.33 1/3 par value) |
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New York Stock Exchange |
Class B Common Stock ($.33 1/3 par value) |
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New York Stock Exchange |
$100,000,000 Aggregate Principal Amount of 7.375%
Senior Notes Due 2034 |
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New York Stock Exchange |
Securities registered pursuant to Section 12(g) of the Act: None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of
the Securities Act.
YES o NO x
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or
Section 15(d) of the Act.
YES o NO x
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by
Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for
such shorter period that the registrant was required to file such reports), and (2) has been
subject to such filing requirements for the past 90 days.
YES x NO o
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is
not contained herein, and will not be contained, to the best of registrants knowledge, in
definitive proxy or information statements incorporated by reference in Part III of this Form 10-K
or any amendment to this Form 10-K. o
Indicate by check mark whether the registrant is a large
accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions
of large accelerated filer, accelerated filer and smaller reporting
company in Rule 12b-2 of the
Exchange Act: (Check one):
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Large accelerated filer x |
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Accelerated filer o |
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Non-accelerated filer o (Do not check if a smaller reporting company) |
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Smaller Reporting Company o |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the
Exchange Act).
YES o NO x
The aggregate market value of the outstanding common equity held by non-affiliates as of the last
business day of the registrants most recently completed second
fiscal quarter was $1,894,505,746.
The number of shares of registrants common stock outstanding on September 23, 2009 was 133,775,953
and 22,622,512 for Class A and Class B common stock, respectively.
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the Proxy Statement for the Annual Meeting of Shareholders held on June 5, 2009
are incorporated by reference into Part III of the Annual Report on Form 10-K for the fiscal year
ended January 31, 2009.
TABLE OF CONTENTS
Explanatory Paragraph
On March 30, 2009, Forest City Enterprises, Inc. (the Company) filed, with the Securities and
Exchange Commission (the SEC), the Companys Annual Report on Form 10-K for the fiscal year ended
January 31, 2009 (the Report). As disclosed in the Report, the Company determined that as of
January 31, 2009, Nets Sports and Entertainment, LLC (NSE), an equity method investment of the
Company, met the conditions of a significant subsidiary under Rule 1-02(w) of Regulation S-X, and
the audited financial statements of NSE required by Rule 3-09 of Regulation S-X would be filed with
the amendment to the Report as permitted by SEC rules.
Amendment No. 1 to the Report is being filed solely to include the separate financial statements of
NSE as provided in Exhibit 99.1 attached hereto. In addition, in connection with the filing of
this Amendment No. 1 to the Report and pursuant to Rule 12b-15 of the Securities Exchange Act of
1934, as amended, the currently dated certifications of the principal executive officer and
principal financial officer of the Company are attached as exhibits hereto.
Item 15 is the only portion of the Report being supplemented or amended by this Form 10-K/A. Except
as described above, this Form 10-K/A does not amend, update or change the financial statements or
any other items or disclosures contained in the Report and does not otherwise reflect events
occurring after the original filing date of the Report. Accordingly, this Form 10-K/A should be
read in conjunction with the Companys filings with the SEC subsequent to the filing of the Report.
Part IV
Item 15. Exhibits and Financial Schedules
Item 15 of the Report filed on March 30, 2009, is amended by the addition of the following
exhibits:
Exhibits
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Exhibit |
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Number
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Description of Document
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Consent of PricewaterhouseCoopers LLP. |
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Principal Executive Officers Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
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Principal Financial Officers Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
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Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the
Sarbanes-Oxley Act of 2002. |
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Nets Sports and Entertainment, LLC and Subsidiaries Consolidated Balance Sheets at
June 30, 2009 and 2008, and Consolidated Statements of Operations, Consolidated Statements of
Members Equity (Deficit), and Consolidated Statements of Cash Flows for the fiscal years
ended June 30, 2009, 2008 and 2007, including the Notes thereto. |