SEC Form 4 · accession 0001140361-17-014206
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
Mar 30, 2017
Accepted (ET)
Mar 31, 2017 · 4:20 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 Stock | Mar 30, 2017 | M | 30,000 | $11.80 | A | 340,432 | D | |
| Common Stock | Mar 30, 2017 | F | 22,979 | $18.15 | D | 317,453 | 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 | $11.80 | Mar 30, 2017 | M | 30,000 | A | Feb 24, 2010 | Feb 24, 2019 | Common Stock | 30,000 | 95,000 | D |
Explanation of responses
- F1These options became exercisable in equal one-fourth increments in February 24, 2010, February 24, 2011, February 24, 2012 and February 24, 2013, which were the respective 1st, 2nd, 3rd, and 4th anniversary dates on which the options were granted.