SEC Form 4 · accession 0001140361-16-085591
FBR & Co. · FBRC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Hendrix
Officer — President and CEO · Director
Period of report
May 24, 2016
Accepted (ET)
Nov 9, 2016 · 4:08 pm EST
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 | May 24, 2016 | L | 11 | $19.414 | A | 284,778 | D | |
| Common StockF1,F2 | Aug 23, 2016 | L | 14 | $14.539 | A | 285,014 | D | |
| Common StockF3,F4 | Nov 8, 2016 | P | 2,135 | $11.89 | A | 287,209 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired under brokerage dividend reinvestment plan.
- F2This includes a non-discretionary reallocation of 222 RSUs made on July 1, 2016 pursuant to the Issuer's 2016 Retention and Incentive Plan under the 2006 Long Term Incentive Plan.
- F3The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.65 and $11.907, inclusive. The reporting person undertakes to provide FBR & Co., any security holder of FBR & Co., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.
- F4This includes a non-discretionary reallocation of 60 RSUs made on October 3, 2016 pursuant to the Issuer's 2016 Retention and Incentive Plan under the 2006 Long Term Incentive Plan.