SEC Form 4 · accession 0001140361-15-028020
FBR & Co. · FBRC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Hendrix
Officer — President and CEO · Director
Period of report
Jul 16, 2015
Accepted (ET)
Jul 20, 2015 · 4:33 pm EDT
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 Stock | Jul 16, 2015 | M | 20,000 | $22.44 | A | 287,739 | D | |
| Common Stock | Jul 16, 2015 | F | 19,457 | $23.67 | D | 268,282 | D | |
| Common Stock | Jul 17, 2015 | M | 15,000 | $22.44 | A | 283,282 | D | |
| Common Stock | Jul 17, 2015 | F | 14,332 | $24.53 | D | 268,950 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $22.44 | Jul 16, 2015 | M | 20,000 | D | — | Aug 20, 2015 | FBR & Co. Common Stock | 20,000 | 40,000 | D |
| Employee Stock Option (Right to Buy)F1 | $22.44 | Jul 17, 2015 | M | 15,000 | D | — | Aug 20, 2015 | FBR & Co. Common Stock | 15,000 | 25,000 | D |
Explanation of responses
- F1The option became exercisable in three equal installments beginning on August 20, 2011, which was the third anniversary of the date on which the option was granted, and on each anniversary thereafter.