FBR & CO. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows in 2010. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-10-28: Reporting owner Fishman Adam J; Form 3; Security Common Stock (option to buy); Transaction Holding.
- 2010-10-28: Reporting owner Fishman Adam J; Form 3; Security Common stock (Option to buy); Transaction Holding.
- 2010-10-28: Reporting owner Fishman Adam J; Form 3; Security Common stock (Option to buy); Transaction Holding.
- 2010-10-28: Reporting owner Fishman Adam J; Form 3; Security Common stock (Option to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-10-28 holding as of filing | Fishman Adam J Officer (Senior Managing Director) | 3 | Common Stock (option to buy) Derivative · Direct | Holding | $15.00 exercise price | 2010-10-28 | ||
| 2010-10-28 holding as of filing | Fishman Adam J Officer (Senior Managing Director) | 3 | Common stock (Option to buy) Derivative · Direct | Holding | $5.61 exercise price | 2010-10-28 | ||
| 2010-10-28 holding as of filing | Fishman Adam J Officer (Senior Managing Director) | 3 | Common stock (Option to buy) Derivative · Direct | Holding | $6.80 exercise price | 2010-10-28 | ||
| 2010-10-28 holding as of filing | Fishman Adam J Officer (Senior Managing Director) | 3 | Common stock (Option to buy) Derivative · Direct | Holding | $5.79 exercise price | 2010-10-28 | ||
| 2010-10-28 holding as of filing | Fishman Adam J Officer (Senior Managing Director) | 3 | Common Stock (Option to buy) Derivative · Direct | Holding | $4.57 exercise price | 2010-10-28 | ||
| 2010-10-28 holding as of filing | Lloyd Michael A Officer (Senior Managing Director) | 3 | Common stock (option to buy) Derivative · Direct | Holding | $6.80 exercise price | 2010-10-28 | ||
| 2010-10-28 holding as of filing | Lloyd Michael A Officer (Senior Managing Director) | 3 | Common stock (option to buy)a Derivative · Direct | Holding | $6.18 exercise price | 2010-10-28 | ||
| 2010-06-03 | REIMERS ARTHUR J Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +115,384 115,384 owned after | $4.10 exercise price | 2010-06-07 | |
| 2010-06-03 | KRAEMER RICHARD A Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +48,076 48,076 owned after | $4.10 exercise price | 2010-06-07 | |
| 2010-06-03 holding as of filing | Crestview Partners GP, L.P. | CRESTVIEW OFFSHORE HOLDINGS (CAYMAN), L.P. | CRESTVIEW PARTNERS, L.P. | Forest Holdings LLC | CRESTVIEW HOLDINGS (TE), L.P. | Forest Holdings (ERISA) LLC | CRESTVIEW PARTNERS (ERISA), L.P. | CRESTVIEW PARTNERS (PF), L.P. 10% Owner | Other (See footnotes (1)(2)(3)) | 10% Owner | Other | Other (See footnotes (1)(2)(3)) | Other | Other (See footnotes (1)(2)(3)) | Other (See footnotes (1)(2)(3)) | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · Through limited partnerships | Holding | 2,600,000 owned after | $17.14 exercise price | 2010-06-03 | |
| 2010-06-03 holding as of filing | CRESTVIEW HOLDINGS (TE), L.P. | Crestview Partners (Cayman), Ltd. | CRESTVIEW PARTNERS (CAYMAN), L.P. Other (See footnotes (1)(2)(3)) | Other (See footnotes (1)(2)(3)) | Other (See footnotes (1)(2)(3)) | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · Through limited partnerships | Holding | 2,600,000 owned after | $17.14 exercise price | 2010-06-03 | |
| 2010-05-27 holding as of filing | CRESTVIEW PARTNERS (CAYMAN), L.P. | CRESTVIEW PARTNERS (TE), L.P. | Crestview Partners (Cayman), Ltd. Other (See footnotes (1)(2)(3)) | Other (See footnotes (1)(2)(3)) | Other (See footnotes (1)(2)(3)) | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · Through limited partnerships | Holding | 2,600,000 owned after | $17.14 exercise price | 2010-05-27 | |
| 2010-05-27 holding as of filing | Forest Holdings LLC | CRESTVIEW PARTNERS, L.P. | Crestview Partners GP, L.P. | CRESTVIEW PARTNERS (PF), L.P. | CRESTVIEW HOLDINGS (TE), L.P. | CRESTVIEW PARTNERS (ERISA), L.P. | Forest Holdings (ERISA) LLC | CRESTVIEW OFFSHORE HOLDINGS (CAYMAN), L.P. Other (See footnotes (1)(2)(3)) | 10% Owner | 10% Owner | Other (See footnotes (1)(2)(3)) | Other (See footnotes (1)(2)(3)) | Other | Other | Other (See footnotes (1)(2)(3)) | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · Through limited partnerships | Holding | 2,600,000 owned after | $17.14 exercise price | 2010-05-27 | |
| 2010-05-21 holding as of filing | CRESTVIEW OFFSHORE HOLDINGS (CAYMAN), L.P. | CRESTVIEW PARTNERS, L.P. | CRESTVIEW HOLDINGS (TE), L.P. | Forest Holdings (ERISA) LLC | Forest Holdings LLC | CRESTVIEW PARTNERS (PF), L.P. | Crestview Partners GP, L.P. | CRESTVIEW PARTNERS (ERISA), L.P. Other (See footnotes (1)(2)(3)) | 10% Owner | Other (See footnotes (1)(2)(3)) | Other | Other | Other (See footnotes (1)(2)(3)) | 10% Owner | Other (See footnotes (1)(2)(3)) | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · Through limited partnerships | Holding | 2,600,000 owned after | $17.14 exercise price | 2010-05-21 | |
| 2010-05-20 holding as of filing | CRESTVIEW PARTNERS (CAYMAN), L.P. | CRESTVIEW PARTNERS (TE), L.P. | Crestview Partners (Cayman), Ltd. Other (See footnotes (1)(2)(3)) | Other (See footnotes (1)(2)(3)) | Other (See footnotes (1)(2)(3)) | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · Through limited partnerships | Holding | 2,600,000 owned after | $17.14 exercise price | 2010-05-20 | |
| 2010-04-08 | Wright Bradley J. Officer (Chief Financial Officer (FBCM)) | 4 | Employee Stock Option Right to Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,000 12,000 owned after | $4.57 exercise price | 2010-04-09 | |
| 2010-04-08 | GINIVAN WILLIAM J Officer (Ex VP & Chief Legal Officer) | 4 | Employee Stock Option - Right to Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $4.57 exercise price | 2010-04-09 | |
| 2010-02-09 | Neuhauser James C Officer (EVP & Head of Inv. Banking) | 4 | Employee Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $5.43 exercise price | 2010-02-11 | |
| 2010-02-09 | BILLINGS JONATHAN L Officer (EVP & Head of Inst. Brokerage) | 4 | Employee Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $5.43 exercise price | 2010-02-11 | |
| 2010-02-09 | HENDRIX RICHARD J Director, Officer (President & CEO) | 4 | Employee Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $5.43 exercise price | 2010-02-11 |