As filed with the Securities and Exchange Commission on June 1, 2017
Registration
No. 333-159415
Registration
No. 333-161416
Registration
No. 333-192336
Registration
No. 333-214564
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
S-3
POST-EFFECTIVE AMENDMENT NO. 2 TO REGISTRATION STATEMENT NO.
333-159415
POST-EFFECTIVE AMENDMENT NO. 2 TO REGISTRATION STATEMENT NO. 333-161416
POST-EFFECTIVE AMENDMENT NO. 1 TO REGISTRATION STATEMENT NO. 333-192336
POST-EFFECTIVE AMENDMENT NO. 2 TO REGISTRATION STATEMENT NO. 333-214564
UNDER
THE
SECURITIES ACT OF 1933
FBR & CO.
(BRC
Merger Sub, LLC as successor by merger to FBR & Co.)
(Exact Name of Registrant as Specified in Its Charter)
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Virginia
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20-5164223
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(State or Other Jurisdiction of
Incorporation or Organization)
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(IRS Employer
Identification No.)
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1300 North Seventeenth Street
Arlington, Virginia 22209
(Address Including Zip Code, of Registrants Principal Executive Offices)
(703)
312-9500
(Registrants telephone number, including area code)
c/o BRC Merger Sub, LLC
21860 Burbank Boulevard, Suite 300 South
Woodland Hills, California 91367
(818)
884-3737
(Name, Address, Including Zip Code, and Telephone Number, Including Area Code, of Agent For Service)
Approximate date of commencement of proposed sale to the public:
Not applicable. Removal from registration of securities that were not
sold pursuant to the above referenced registration statements.
If the only securities being registered on this Form are being offered
pursuant to dividend or interest reinvestment plans, please check the following box. ☐
If any of the securities being
registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, other than securities offered only in connection with dividend or interest reinvestment plans, check the following
box. ☐
If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the
Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐
If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the
Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐
If
this Form is a registration statement pursuant to General Instruction I.D. or a post-effective amendment thereto that shall become effective upon filing with the Commission pursuant to Rule 462(e) under the Securities Act, check the following
box. ☐
If this Form is a post-effective amendment to a registration statement filed pursuant to General Instruction I.D.
filed to register additional securities or additional classes of securities pursuant to Rule 413(b) under the Securities Act, check the following box. ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a
non-accelerated
filer, a smaller reporting company or an emerging growth company. See the definitions of large accelerated filer, accelerated filer, smaller reporting
company, and emerging growth company in Rule
12b-2
of the Securities Exchange Act of 1934, as amended (the Exchange Act). (Check one):
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Large accelerated filer
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☐
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Accelerated filer
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☒
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Non-accelerated
filer
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☐ (Do not check if a smaller reporting company)
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Smaller reporting company
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☐
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Emerging growth company
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☐
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended
transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act.
DEREGISTRATION OF SECURITIES
These Post-Effective Amendments (these Post-Effective Amendments) relate to the following Registration Statements on Form
S-3
(collectively, the Registration Statements) of FBR & Co., a Virginia corporation (the Registrant), previously filed by the Registrant or its predecessor FBR Capital Markets
Corporation (the Former Registrant) with the United States Securities and Exchange Commission (the SEC):
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Registration Statement
No. 333-159415,
originally filed with the Commission on May 22, 2009, as amended by Amendment No. 1 on June 8, 2009, registering shares
of common stock, shares of preferred stock, senior debt securities and subordinated debt securities;
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Registration Statement
No. 333-161416,
originally filed with the Commission on August 18, 2009, as amended by Amendment No. 1 on September 2, 2009, registering
shares of common stock;
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Registration Statement
No. 333-192336,
filed with the Commission on November 14, 2013, registering shares of common stock, shares of preferred stock, depositary shares,
debt securities, units, warrants and stock purchase contracts;
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Registration Statement
No. 333-214564,
originally filed with the Commission on November 10, 2016, as amended by Amendment No. 1 on December 20, 2016,
registering shares of common stock, shares preferred stock, depositary shares, debt securities, units, warrants and stock purchase contracts;
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On June 1, 2017, pursuant to an Amended and Restated Agreement and Plan of Merger (the Merger Agreement), dated as of
March 15, 2017, and effective as of February 17, 2017, by and among the Registrant, B. Riley Financial, Inc., a Delaware corporation, (Parent) and BRC Merger Sub, LLC, a Delaware limited liability company and a subsidiary of
Parent (Merger Sub), the Registrant merged with and into the Merger Sub (the Merger), with Merger Sub surviving the Merger.
As a result of the Merger and related transactions, the Registrant is terminating the Registration Statements and deregistering the remaining
securities registered but unsold under the Registration Statements, if any, in accordance with the undertakings made by the Registrant in the Registration Statements to remove from registration, by means of a post-effective amendment, any of the
securities that had been registered for issuance that remain unsold at the termination of the offerings. The Registrant hereby removes from the registration any and all such securities of the Registrant registered but unsold at the termination of
the offerings. The Registration Statements are hereby amended, as appropriate, to reflect the deregistration of such securities.
The
foregoing description of the Merger, the Merger Agreement and the transactions contemplated thereby does not purport to be complete and is subject to, and qualified in its entirety by the Merger Agreement, which is included as Appendix A in the
Registrants Schedule 14a filed with the SEC on May 1, 2017.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets
all of the requirements for filing on Form
S-3
and has duly caused these Post-Effective Amendments to the registration statements on Form
S-3
to be signed on its behalf
by the undersigned, thereunto duly authorized, in the City of Arlington, Commonwealth of Virginia, on this 1st day of June, 2017.
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BRC MERGER SUB, LLC
(as successor by merger to FBR & Co.)
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By:
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B. RILEY FINANCIAL, INC.,
its sole member
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By:
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/s/ Phillip J. Ahn
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Name: Phillip J. Ahn
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Title: Chief Financial Officer and Chief Operating Officer
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No other person is required to sign these Post-Effective Amendments to the Registration Statements on Form
S-3
in reliance on Rule 478 under the Securities Act of 1933.
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