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Filing Details

Accession Number:
0001140361-13-028958
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-07-25 16:24:55
Reporting Period:
2013-07-24
Filing Date:
2013-07-25
Accepted Time:
2013-07-25 16:24:55
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1371446 Fbr & Co. FBRC Security Brokers, Dealers & Flotation Companies (6211) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1437165 C James Neuhauser 1001 Nineteenth Street North
Arlington VA 22209
Ex Vp - Chief Inv Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2013-07-24 12,500 $29.25 0 No 4 S Indirect Through LLC of which filer is managing member
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect Through LLC of which filer is managing member
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 136,740 Direct
Common Stock 10,131 Indirect By wife
Footnotes
  1. Represents shares of the Issuer's common stock held by an LLC of which the reporting person is the Manager. The reporting person holds a 40% interest in the assets of this LLC.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.6534 to $29.7926, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forthin footnote (2) to this Form 4.
  3. On February 28, 2013, the common stock of the Issuer reverse stock split 1-for-4 (the "Reverse Split") adjusting the reporting person's ownerhsip to 133,403 shares of common stock.
  4. This includes a non-discretionary reallocation of 2,239 RSUs made on April 1, 2013 and 1,098 RSUs made on July 1, 2013 to the Reporting Person pursuant to the Issuers 2012 Retention and Incentive Plan under the Issuers 2006 Long Term Incentive Plan.
  5. The Reverse Split shares are represented by 3,766 RSUs granted under the Issuer's 2006 LTIP which are subject to forfeiture restrictions until vesting date and 6,365 shares.
  6. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.