FBR & CO. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 17 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-11-26: Reporting owner MURPHY THOMAS S JR; Form 4; Security "Option (Right to Buy) (""Option"")"; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-11-26: Reporting owner MURPHY THOMAS S JR; Form 4; Security Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-11-26: Reporting owner Klein Adam J; Form 4; Security "Option (Right to Buy) (""Option"")"; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-11-26: Reporting owner Klein Adam J; Form 4; Security Option; 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-11-26 | MURPHY THOMAS S JR Director | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · See footnotes. | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +61,224 0 owned after | $10.96 exercise price | 2013-11-27 | |
| 2013-11-26 | MURPHY THOMAS S JR Director | 4 | Option Derivative · Indirect · See footnotes. | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +26,108 0 owned after | $14.52 exercise price | 2013-11-27 | |
| 2013-11-26 | Klein Adam J Director | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · See footnotes. | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +61,224 0 owned after | $10.96 exercise price | 2013-11-27 | |
| 2013-11-26 | Klein Adam J Director | 4 | Option Derivative · Indirect · See footnotes. | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +26,108 0 owned after | $14.52 exercise price | 2013-11-27 | |
| 2013-11-26 | CRESTVIEW PARTNERS, L.P. | Crestview Partners GP, L.P. | Forest Holdings LLC | CRESTVIEW PARTNERS (ERISA), L.P. | CRESTVIEW PARTNERS (PF), L.P. | Forest Holdings (ERISA) LLC | CRESTVIEW OFFSHORE HOLDINGS (CAYMAN), L.P. | CRESTVIEW HOLDINGS (TE), L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · Through limited partnerships | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +61,224 0 owned after | $10.96 exercise price | 2013-11-27 | |
| 2013-11-26 | CRESTVIEW PARTNERS, L.P. | Crestview Partners GP, L.P. | Forest Holdings LLC | CRESTVIEW PARTNERS (ERISA), L.P. | CRESTVIEW PARTNERS (PF), L.P. | Forest Holdings (ERISA) LLC | CRESTVIEW OFFSHORE HOLDINGS (CAYMAN), L.P. | CRESTVIEW HOLDINGS (TE), L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Option Derivative · Indirect · Through limited partnerships | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +26,108 0 owned after | $14.52 exercise price | 2013-11-27 | |
| 2013-09-09 | CRESTVIEW PARTNERS (ERISA), L.P. | CRESTVIEW PARTNERS (PF), L.P. | CRESTVIEW OFFSHORE HOLDINGS (CAYMAN), L.P. | Forest Holdings LLC | CRESTVIEW PARTNERS, L.P. | CRESTVIEW HOLDINGS (TE), L.P. | Crestview Partners GP, L.P. | Forest Holdings (ERISA) LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · Through limited partnerships | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −38,461 0 owned after | $16.40 exercise price | 2013-09-11 | |
| 2013-09-09 | CRESTVIEW PARTNERS (ERISA), L.P. | CRESTVIEW PARTNERS (PF), L.P. | CRESTVIEW OFFSHORE HOLDINGS (CAYMAN), L.P. | Forest Holdings LLC | CRESTVIEW PARTNERS, L.P. | CRESTVIEW HOLDINGS (TE), L.P. | Crestview Partners GP, L.P. | Forest Holdings (ERISA) LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · Through limited partnerships | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,908 0 owned after | $14.52 exercise price | 2013-09-11 | |
| 2013-09-09 | Klein Adam J Director | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −38,461 0 owned after | $16.40 exercise price | 2013-09-11 | |
| 2013-09-09 | Klein Adam J Director | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · See footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,908 0 owned after | $14.52 exercise price | 2013-09-11 | |
| 2013-09-09 | MURPHY THOMAS S JR Director | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · See footnotes. | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −38,461 0 owned after | $16.40 exercise price | 2013-09-11 | |
| 2013-09-09 | MURPHY THOMAS S JR Director | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · See footnotes. | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,908 0 owned after | $14.52 exercise price | 2013-09-11 | |
| 2013-06-05 | Forest Holdings LLC | CRESTVIEW PARTNERS, L.P. | CRESTVIEW PARTNERS (PF), L.P. | Forest Holdings (ERISA) LLC | CRESTVIEW PARTNERS (ERISA), L.P. | Crestview Partners GP, L.P. | CRESTVIEW OFFSHORE HOLDINGS (CAYMAN), L.P. | CRESTVIEW HOLDINGS (TE), L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · Through limited partnerships | J Other acquisition or disposition (describe transaction) | +32,432 0 owned after | $24.23 exercise price | 2013-06-07 | |
| 2013-06-05 | MURPHY THOMAS S JR Director | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · See footnotes. | J Other acquisition or disposition (describe transaction) | +32,432 0 owned after | $24.23 exercise price | 2013-06-07 | |
| 2013-06-05 | Klein Adam J Director | 4 | "Option (Right to Buy) (""Option"")" Derivative · Indirect · See footnotes. | J Other acquisition or disposition (describe transaction) | +32,432 0 owned after | $24.23 exercise price | 2013-06-07 | |
| 2013-06-03 | MICHAEL RALPH S III Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,177 3,053 owned after | $24.44 exercise price | 2013-06-04 | |
| 2013-05-30 | MICHAEL RALPH S III Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 5,230 owned after | $24.44 exercise price | 2013-06-03 |