FBR & CO. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-06-01: Reporting owner Tilley Allison Leopold; Form 4; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-06-01: Reporting owner HENDRIX RICHARD J; Form 4; Security Employee Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-04-20: Reporting owner HENDRIX RICHARD J; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-04-17: Reporting owner Fishman Adam J; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-06-01 | Tilley Allison Leopold Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,800 0 owned after | $16.52 exercise price | 2017-06-02 | |
| 2017-06-01 | HENDRIX RICHARD J Director, Officer (President and CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −65,000 0 owned after | $11.80 exercise price | 2017-06-02 | |
| 2017-04-20 | HENDRIX RICHARD J Director, Officer (President and CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +30,000 65,000 owned after | $11.80 | 2017-04-21 | |
| 2017-04-17 | Fishman Adam J Officer (Executive Vice President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $14.40 exercise price | 2017-04-18 | |
| 2017-03-30 | HENDRIX RICHARD J Director, Officer (President and CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +30,000 95,000 owned after | $11.80 | 2017-03-31 | |
| 2017-03-28 | Wright Bradley J. Officer (EVP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 0 owned after | $14.40 exercise price | 2017-03-29 |