JMP Group Inc. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-09-30: Reporting owner Lunenburg Harry Mark; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-09-30: Reporting owner DiPietro David M; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-09-30: Reporting owner Tongue Glenn H; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-09-30: Reporting owner Karmin Kenneth M; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-09-30 | Lunenburg Harry Mark Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,318 11,095 owned after | $0.00 | 2014-10-01 | |
| 2014-09-30 | DiPietro David M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,987 7,187 owned after | $0.00 | 2014-10-01 | |
| 2014-09-30 | Tongue Glenn H Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,649 20,530 owned after | $0.00 | 2014-10-01 | |
| 2014-09-30 | Karmin Kenneth M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,980 17,285 owned after | $0.00 | 2014-10-01 | |
| 2014-09-30 | Orszag Jonathan M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,987 5,236 owned after | $0.00 | 2014-10-01 | |
| 2014-06-30 | Lunenburg Harry Mark Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,318 13,413 owned after | $0.00 | 2014-07-07 | |
| 2014-06-30 | Karmin Kenneth M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,980 20,265 owned after | $0.00 | 2014-07-07 | |
| 2014-06-30 | Orszag Jonathan M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,987 7,223 owned after | $0.00 | 2014-07-07 | |
| 2014-06-30 | Tongue Glenn H Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,649 23,179 owned after | $0.00 | 2014-07-07 | |
| 2014-06-30 | DiPietro David M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,987 9,174 owned after | $0.00 | 2014-07-07 | |
| 2014-03-31 | Tongue Glenn H Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,649 25,828 owned after | $0.00 | 2014-04-01 | |
| 2014-03-31 | Orszag Jonathan M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,987 9,210 owned after | $0.00 | 2014-04-01 | |
| 2014-03-31 | Lunenburg Harry Mark Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,318 15,731 owned after | $0.00 | 2014-04-01 | |
| 2014-03-31 | Karmin Kenneth M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,980 23,245 owned after | $0.00 | 2014-04-01 | |
| 2014-03-31 | DiPietro David M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,987 11,161 owned after | $0.00 | 2014-04-01 | |
| 2014-03-21 | Orszag Jonathan M Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,947 11,197 owned after | $0.00 | 2014-03-21 | |
| 2014-03-21 | Tongue Glenn H Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,596 28,477 owned after | $0.00 | 2014-03-21 | |
| 2014-03-20 | Lunenburg Harry Mark Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,271 18,049 owned after | $0.00 | 2014-03-21 | |
| 2014-03-20 | DiPietro David M Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,947 13,148 owned after | $0.00 | 2014-03-21 | |
| 2014-03-20 | Karmin Kenneth M Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,920 26,225 owned after | $0.00 | 2014-03-21 | |
| 2014-02-11 | Jolson Joseph A Director, Officer (CEO), 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +165,802 264,298 owned after | $0.00 | 2014-02-12 | |
| 2014-02-11 | Lehmann Mark L Director, Officer (President, JMP Securities) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,459 104,949 owned after | $0.00 | 2014-02-12 | |
| 2014-02-11 | Ledbetter Kent Other (executive committee member) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +71,530 205,265 owned after | $0.00 | 2014-02-12 | |
| 2014-02-11 | Mack Carter D Director, Officer (President) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,612 125,105 owned after | $0.00 | 2014-02-12 | |
| 2014-02-11 | Johnson Craig R Director, Officer (Vice Chrm; Chrm Harvest Cap) | 4 | Restricted Stock Unit Derivative · Direct | Holding | +36,813 111,364 owned after | $0.00 | 2014-02-12 | |
| 2014-02-11 | Jackson Raymond Officer (CFO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,471 46,344 owned after | $0.00 | 2014-02-12 | |
| 2014-02-05 | Ledbetter Kent Other (executive committee member) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 133,735 owned after | $6.79 exercise price | 2014-02-10 |