SEC Form 4 · accession 0001140361-15-006000
FBR & Co. · FBRC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam J Fishman
Officer — Executive Vice President
Period of report
Feb 10, 2015
Accepted (ET)
Feb 12, 2015 · 4:50 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 |
|---|---|---|---|---|---|---|---|---|
| CommonF1,F2 | Feb 10, 2015 | A | 4,214 | $0.00 | A | 176,325 | D |
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
- F2Includes 947 shares of the Issuer's common stock purchased on June 30, 2014 under the Issuer's Employee Sock Purchase Plan. Also includes a non-descretionary allocation of 3,130 RSUs made on July 1, 2014 to the Reporting Person pursuant to the Issuer's 2012 Retention and Incentive Plan under the Issuer's 2006 LTIP