FBR & CO. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-08-06: 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.
- 2015-07-31: Reporting owner Neuhauser James C; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-07-23: Reporting owner SLOSSER KENNETH P; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-07-22: 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 |
|---|---|---|---|---|---|---|---|---|
| 2015-08-06 | 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 | −25,000 0 owned after | $22.44 exercise price | 2015-08-11 | |
| 2015-07-31 | Neuhauser James C Officer (Ex VP - Chief Inv Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Indirect · Owned by Spouse | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,666 0 owned after | $16.88 exercise price | 2015-08-03 | |
| 2015-07-23 | SLOSSER KENNETH P Officer (EVP - Head of Investment Banki) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,444 0 owned after | $22.44 exercise price | 2015-07-27 | |
| 2015-07-22 | 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 | −6,666 0 owned after | $22.44 exercise price | 2015-07-23 | |
| 2015-07-17 | Neuhauser James C Officer (Ex VP - Chief Inv Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,000 0 owned after | $22.44 exercise price | 2015-07-21 | |
| 2015-07-17 | 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 | −8,666 0 owned after | $22.44 exercise price | 2015-07-21 | |
| 2015-07-17 | 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 | −15,000 25,000 owned after | $22.44 exercise price | 2015-07-20 | |
| 2015-07-16 | 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 | −20,000 40,000 owned after | $22.44 exercise price | 2015-07-20 | |
| 2015-06-22 | 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 | −20,000 60,000 owned after | $22.44 exercise price | 2015-06-24 | |
| 2015-05-26 | REIMERS ARTHUR J Director | 4 | Options to purchase common stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +31,512 0 owned after | $14.52 exercise price | 2015-05-27 |