SEC Form 4 · accession 0001140361-16-064097
FBR & Co. · FBRC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James C Neuhauser
Officer — Ex VP
Period of report
May 5, 2016
Accepted (ET)
May 9, 2016 · 5:16 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,F2 | May 5, 2016 | A | 30,629 | $0.00 | A | 129,139 | D | |
| Common StockF3 | May 5, 2016 | F | 15,591 | $18.62 | D | 113,548 | D | |
| Common stockF4 | holding | — | — | — | 1,529 | I | Owned by spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of the Issuer's common stock in settlement of previously awarded performance share units under the Issuer's 2013 Performance Share Unit Program.
- F2This includes a non-discretionary reallocation of 157 RSUs made on April 1, 2016 pursuant to the Issuer's 2016 Retention and Incentive Plan under the 2006 Long Term Incentive Plan.
- F3Represents shares of the Issuer's common stock withheld to satisfy tax withholding obligations in connection with the delivery of common stock underlying the settlement of previously awarded performance share units under the Issuer's 2013 Performance Share Unit Program.
- F4The 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.