SEC Form 4 · accession 0001140361-17-023564
FBR & Co. · FBRC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J Hynes Jr.
Director
Period of report
Feb 28, 2017
Accepted (ET)
Jun 2, 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 StockF1 | Feb 28, 2017 | L | 98 | $18.20 | A | 33,283 | D | |
| Common StockF1 | May 31, 2017 | P | 6,817 | $10.09 | A | 40,100 | D | |
| Common StockF2 | Jun 1, 2017 | D | 40,100 | — | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares acquired under brokerage dividend reinvestment plan.
- F2Represents 18,354 shares of issuer common stock, 4,208 shares of restricted stock, and 17,538 restricted stock units ("RSU"s) disposed of pursuant to merger agreement between issuer and B. Riley Financial, Inc. in exchange for shares of B. Riley Financial, Inc. common stock and B. Riley Financial, Inc. RSUs at an exchange ratio of 0.671. B. Riley Financial, Inc. common stock had a closing market value of $14.70 per share on the effective date of the merger.