0000950103-13-006937.txt : 20131127 0000950103-13-006937.hdr.sgml : 20131127 20131127193137 ACCESSION NUMBER: 0000950103-13-006937 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131126 FILED AS OF DATE: 20131127 DATE AS OF CHANGE: 20131127 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FBR & Co. CENTRAL INDEX KEY: 0001371446 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1001 NINETEETH ST NORTH CITY: ARLINGTON STATE: VA ZIP: 22209 BUSINESS PHONE: 703-312-9500 MAIL ADDRESS: STREET 1: 1001 NINETEETH ST NORTH CITY: ARLINGTON STATE: VA ZIP: 22209 FORMER COMPANY: FORMER CONFORMED NAME: FBR CAPITAL MARKETS CORP DATE OF NAME CHANGE: 20060803 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MURPHY THOMAS S JR CENTRAL INDEX KEY: 0001402372 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33518 FILM NUMBER: 131248896 MAIL ADDRESS: STREET 1: C/O CRESTVIEW ADVISORS STREET 2: 667 MADISON AVENUE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10021 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-11-26 0001371446 FBR & Co. FBRC 0001402372 MURPHY THOMAS S JR C/O CRESTVIEW ADVISORS, L.L.C. 667 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10065 1 0 0 0 Common Stock, par value $0.001 per share ("Common Stock") 2013-11-26 4 M 0 61224 10.96 A 0 I See footnotes. Common Stock 2013-11-26 4 M 0 26108 14.52 A 0 I See footnotes. Common Stock 2013-11-26 4 S 0 87332 25.75 D 0 I See footnotes. Option (Right to Buy) ("Option") 10.96 2013-11-26 4 M 0 61224 0 A 2013-06-05 2016-06-05 Common Stock 61224 0 I See footnotes. Option 14.52 2013-11-26 4 M 0 26108 0 A 2012-06-01 2015-06-01 Common Stock 26108 0 I See footnotes. The reporting person is member of the board of directors of the issuer and is a Managing Director of Crestview Advisors, L.L.C., which on November 26, 2013, exercised 61,224 options to buy shares of Common Stock of the issuer at an exercise price of $10.96 per share and 26,108 options to buy shares of Common Stock of the issuer at an exercise price of $14.52 per share, and sold the 87,332 shares underlying such options at a price of $25.75 per share. Crestview Advisors, L.L.C. provides investment advisory and management services to investment funds affiliated with Crestview Partners GP, L.P. (the "Crestview Funds"). On November 26, 2013, the Crestview Funds sold 1,389,480 shares of Common Stock of the issuer that were held indirectly and, following the reported transactions, the Crestview Funds do not directly or indirectly own any shares of common stock of the issuer. The reporting person is also a Managing Director of Crestview, L.L.C., the general partner of Crestview Partners GP, The reporting person disclaims beneficial ownership of such securities except and to the extent of his pecuniary interest therein. /s/ Evelyn C. Pellicone, Attorney-in-fact 2013-11-27