SEC Form 4 · accession 0001140361-15-029545
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
Jul 31, 2015
Accepted (ET)
Aug 3, 2015 · 5:07 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 31, 2015 | M | 1,666 | $16.88 | A | 3,195 | I | Owned by Spouse |
| Common stockF1 | Jul 31, 2015 | F | 1,363 | $23.50 | D | 1,832 | I | Owned by Spouse |
| Common stock | holding | — | — | — | 114,367 | 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,F2 | $16.88 | Jul 31, 2015 | M | 1,666 | D | — | Aug 6, 2015 | Common stock | 1,666 | 0 | I |
Explanation of responses
- F1The 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.
- F2The option became exercisable in three equal installments begining on April 23, 2012, which was the third anniversary of the date on which the option was granted, and on each anniversary thereafter.