- Accession Number:
- Form Type:
- Zero Holdings:
- Publication Time:
- 2013-07-25 16:24:55
- Reporting Period:
- Filing Date:
- Accepted Time:
- 2013-07-25 16:24:55
- SEC Url:
- Form 4 Filing
|Cik||Name||Symbol||Sector (SIC)||IRS No|
|1371446||Fbr & Co.||FBRC||Security Brokers, Dealers & Flotation Companies (6211)||000000000|
|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|
|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|
|Sec. Name||Remaning Holdings||Nature of Ownership||Explanation|
|Common Stock||10,131||Indirect||By wife|
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.