SEC Form 4 · accession 0001140361-15-028737
FBR & Co. · FBRC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth P Slosser
Officer — EVP - Head of Investment Banki
Period of report
Jul 23, 2015
Accepted (ET)
Jul 27, 2015 · 4:44 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 StockF2,F1 | Jul 23, 2015 | M | 4,444 | $22.44 | A | 142,245 | D | |
| Common Stock | Jul 23, 2015 | F | 4,319 | $23.54 | D | 137,926 | 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 23, 2015 | M | 4,444 | D | — | Aug 20, 2015 | Common Stock | 4,444 | 0 | D |
Explanation of responses
- F1This includes a non-discretionary reallocation of 1395 Restricted Stock Units made on April 1, 2015 pursuant to the issuer's 2012 Retention and Incentive Plan under the 2006 Long Term Incentive 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.