SEC Form 4 · accession 0001140361-15-005989
FBR & Co. · FBRC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James C Neuhauser
Officer — Ex VP - Chief Inv Officer
Period of report
Feb 10, 2015
Accepted (ET)
Feb 12, 2015 · 4:46 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001371446
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1,F2 | Feb 10, 2015 | A | 2,950 | $0.00 | A | 134,206 | D | |
| Common stockF3 | holding | — | — | — | 1,529 | I | Owned by spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents restricted stock units (RSUs) awarded to the reporting person in accordance with the Issuer's 2006 Long Term Incentive Plan. The RSUs will, subject to forfeiture restrictions, vest on the third anniversary after the date of grant
- F2This includes a non-discretionary reallocation of 2,503 RSUs made on July 1, 2014 pursuant to the Issuer's 2012 Retention and Incentive Plan under the 2006 LTIP
- F3The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose