JMP Group Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 37 rows, 37 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-03-11: Reporting owner Karmin Kenneth M; Form 4; Security NQSO Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-03-11: Reporting owner Orszag Jonathan M; Form 4; Security NQSO Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-03-11: Reporting owner DiPietro David M; Form 4; Security NQSO Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-03-11: Reporting owner Lunenburg Harry Mark; Form 4; Security NQSO Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-03-11 | Karmin Kenneth M Director | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 60,000 owned after | $7.33 exercise price | 2014-03-12 | |
| 2014-03-11 | Orszag Jonathan M Director | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 40,000 owned after | $7.33 exercise price | 2014-03-12 | |
| 2014-03-11 | DiPietro David M Director | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 40,000 owned after | $7.33 exercise price | 2014-03-12 | |
| 2014-03-11 | Lunenburg Harry Mark Director | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 40,000 owned after | $7.33 exercise price | 2014-03-12 | |
| 2014-03-11 | Tongue Glenn H Director | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 40,000 owned after | $7.33 exercise price | 2014-03-12 | |
| 2014-02-05 | Lehmann Mark L Director, Officer (President, JMP Securities) | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 194,200 owned after | $6.79 exercise price | 2014-02-10 | |
| 2014-02-05 | Mack Carter D Director, Officer (President) | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 253,400 owned after | $6.79 exercise price | 2014-02-10 | |
| 2014-02-05 | Johnson Craig R Director, Officer (Vice Chrm; Chrm Harvest Cap) | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 229,720 owned after | $6.79 exercise price | 2014-02-10 | |
| 2014-02-05 | Jackson Raymond Officer (CFO) | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 90,000 owned after | $6.79 exercise price | 2014-02-10 | |
| 2014-02-05 | Jolson Joseph A Director, Officer (CEO), 10% Owner | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 283,000 owned after | $6.79 exercise price | 2014-02-10 | |
| 2013-02-11 | Mack Carter D Director, Officer (President) | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 193,400 owned after | $6.24 exercise price | 2013-02-13 | |
| 2013-02-11 | Jackson Raymond Officer (CFO) | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $6.24 exercise price | 2013-02-13 | |
| 2013-02-11 | Ledbetter Kent Other (executive committee member) | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 93,500 owned after | $6.24 exercise price | 2013-02-13 | |
| 2013-02-11 | Lehmann Mark L Director, Officer (President, JMP Securities) | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 134,200 owned after | $6.24 exercise price | 2013-02-13 | |
| 2013-02-11 | Johnson Craig R Director, Officer (Vice Chrm; Chrm Harvest Cap) | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 169,720 owned after | $6.24 exercise price | 2013-02-13 | |
| 2013-02-11 | Jolson Joseph A Director, Officer (CEO), 10% Owner | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 223,000 owned after | $6.24 exercise price | 2013-02-13 | |
| 2013-02-11 | Orszag Jonathan M Director | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $6.24 exercise price | 2013-02-13 | |
| 2013-02-11 | Lunenburg Harry Mark Director | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $6.24 exercise price | 2013-02-13 | |
| 2013-02-11 | Tongue Glenn H Director | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $6.24 exercise price | 2013-02-13 | |
| 2013-02-11 | DiPietro David M Director | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $6.24 exercise price | 2013-02-13 | |
| 2013-02-11 | Karmin Kenneth M Director | 4 | NQSO Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $6.24 exercise price | 2013-02-13 | |
| 2011-02-01 holding as of filing | Ledbetter Kent Other (executive committee member) | 3 | NQSO Stock Option Derivative · Direct | Holding | $10.00 exercise price | 2011-02-01 | ||
| 2007-05-16 | Jolson Joseph A Director, Officer (Chairman and CEO), 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +148,000 148,000 owned after | $10.00 exercise price | 2007-05-18 | |
| 2007-05-16 | Johnson Craig R Director, Officer (President) | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +94,720 94,270 owned after | $10.00 exercise price | 2007-05-18 | |
| 2007-05-16 | Kilian Thomas B Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +14,800 14,800 owned after | $10.00 exercise price | 2007-05-18 | |
| 2007-05-16 | Mack Carter D Director, Officer (Co-Pres. JMP Securities) | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +118,400 118,400 owned after | $10.00 exercise price | 2007-05-18 | |
| 2007-05-16 | Sebastian Edward J Director | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +25,000 25,000 owned after | $15.00 exercise price | 2007-05-18 | |
| 2007-05-16 | Lehmann Mark L Director, Officer (Co-Pres. JMP Securities) | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +59,200 59,200 owned after | $10.00 exercise price | 2007-05-18 | |
| 2007-05-16 | PAUL PETER T Director | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +25,000 25,000 owned after | $15.00 exercise price | 2007-05-18 | |
| 2007-05-10 | PAUL PETER T Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 12,000 owned after | $0.00 | 2007-05-14 | |
| 2007-05-10 holding as of filing | Jolson Joseph A Director, Officer (Chairman and CEO), 10% Owner | 3 | Stock Option (right to buy) Derivative · Direct | Holding | no price filed | 2007-05-10 | ||
| 2007-05-10 holding as of filing | Johnson Craig R Director, Officer (President) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | no price filed | 2007-05-10 | ||
| 2007-05-10 holding as of filing | Lehmann Mark L Director, Officer (Co-Pres. JMP Securities) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | no price filed | 2007-05-10 | ||
| 2007-05-10 holding as of filing | Kilian Thomas B Officer (Chief Financial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | no price filed | 2007-05-10 | ||
| 2007-05-10 holding as of filing | Mack Carter D Director, Officer (Co-Pres. JMP Securities) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | no price filed | 2007-05-10 | ||
| 2007-05-10 holding as of filing | PAUL PETER T Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | no price filed | 2007-05-10 | ||
| 2007-05-10 holding as of filing | Sebastian Edward J Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | no price filed | 2007-05-10 |