SEC Form 4 · accession 0001140361-16-060952
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
Apr 8, 2016
Accepted (ET)
Apr 12, 2016 · 6:02 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 | Apr 8, 2016 | M | 10,000 | $18.28 | A | 161,739 | D | |
| Common Stock | Apr 8, 2016 | F | 9,961 | $18.44 | D | 151,778 | 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 | $18.28 | Apr 8, 2016 | M | 10,000 | D | Apr 8, 2013 | Apr 8, 2016 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1This includes a non-discretionary reallocation of 393 RSUs made on April 1, 2016 pursuant to the Issuer's 2016 Retention and Incentive Plan under the 2006 Long Term Incentive Plan.
- F2The option became exercisable in full on April 8, 2013, which was the third anniversary of the date on which the option was granted.