SEC Form 4 · accession 0001140361-15-028388
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
Jul 22, 2015
Accepted (ET)
Jul 23, 2015 · 4:03 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 StockF1 | Jul 22, 2015 | M | 6,666 | $22.44 | A | 177,230 | D | |
| Common Stock | Jul 22, 2015 | F | 6,528 | $23.26 | D | 170,702 | 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)F2 | $22.44 | Jul 22, 2015 | M | 6,666 | D | — | Aug 20, 2015 | Common Stock | 6,666 | 0 | D |
Explanation of responses
- F1Includes 1016 shares of the issuer's common stock purchased on June 30, 2015 under the issuer's Employee Stock Purchase Plan.
- F2The 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.