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: 40 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-17: 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.
- 2012-12-15: 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.
- 2012-08-06: Reporting owner Jackson Raymond; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-08-03: 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-12-17 | DiPietro David M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −813 9,643 owned after | $0.00 | 2012-12-18 | |
| 2012-12-15 | DiPietro David M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,511 11,056 owned after | $0.00 | 2012-02-16 | |
| 2012-08-06 | Jackson Raymond Officer (CFO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 19,505 owned after | $0.00 | 2012-08-21 | |
| 2012-08-03 | Karmin Kenneth M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,876 24,058 owned after | $0.00 | 2012-08-06 | |
| 2012-08-03 | Tongue Glenn H Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,576 17,881 owned after | $0.00 | 2012-08-06 | |
| 2012-08-03 | Lunenburg Harry Mark Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,926 14,629 owned after | $0.00 | 2012-08-06 | |
| 2012-03-12 | Karmin Kenneth M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,926 28,934 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Lunenburg Harry Mark Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,926 17,555 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Tongue Glenn H Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,926 21,457 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Ledbetter Kent Other (executive committee member) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,003 103,772 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Ledbetter Kent Other (executive committee member) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,053 63,719 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Jolson Joseph A Director, Officer (CEO), 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −41,261 186,610 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Jolson Joseph A Director, Officer (CEO), 10% Owner | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,133 86,477 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Mack Carter D Director, Officer (President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −41,261 186,610 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Mack Carter D Director, Officer (President) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,133 86,477 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Johnson Craig R Director, Officer (Vice Chrm; Chrm Harvest Cap) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,507 120,461 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Johnson Craig R Director, Officer (Vice Chrm; Chrm Harvest Cap) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −56,742 63,719 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Jackson Raymond Officer (CFO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,502 66,207 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Jackson Raymond Officer (CFO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,702 39,505 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Lehmann Mark L Director, Officer (President, JMP Securities) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −41,261 173,607 owned after | $0.00 | 2012-03-14 | |
| 2012-03-12 | Lehmann Mark L Director, Officer (President, JMP Securities) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,133 73,474 owned after | $0.00 | 2012-03-14 | |
| 2012-03-07 | Orszag Jonathan M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,001 6,230 owned after | $0.00 | 2012-03-08 | |
| 2012-03-07 | DiPietro David M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −600 10,456 owned after | $0.00 | 2012-03-08 | |
| 2012-02-08 | Lehmann Mark L Director, Officer (President, JMP Securities) | 4/A | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +73,472 214,868 owned after | $0.00 | 2012-03-14 | |
| 2012-02-08 | DiPietro David M Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,255 9,366 owned after | $0.00 | 2012-02-16 | |
| 2012-02-08 | DiPietro David M Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,201 14,567 owned after | $0.00 | 2012-02-16 | |
| 2012-02-08 | Lunenburg Harry Mark Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,777 10,704 owned after | $0.00 | 2012-02-10 | |
| 2012-02-08 | Lunenburg Harry Mark Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,777 19,481 owned after | $0.00 | 2012-02-10 | |
| 2012-02-08 | Tongue Glenn H Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,728 12,655 owned after | $0.00 | 2012-02-10 | |
| 2012-02-08 | Tongue Glenn H Director | 4 | Restricted Stock Unit Derivative · Direct | Holding | +10,728 23,383 owned after | $0.00 | 2012-02-10 | |
| 2012-02-08 | Karmin Kenneth M Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,629 16,556 owned after | $0.00 | 2012-02-10 | |
| 2012-02-08 | Karmin Kenneth M Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,304 30,860 owned after | $0.00 | 2012-02-10 | |
| 2012-02-08 | Orszag Jonathan M Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,980 5,981 owned after | $0.00 | 2012-02-10 | |
| 2012-02-08 | Orszag Jonathan M Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,250 9,231 owned after | $0.00 | 2012-02-10 | |
| 2012-02-08 | 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) | +86,475 227,871 owned after | $0.00 | 2012-02-10 | |
| 2012-02-08 | Johnson Craig R Director, Officer (Vice Chrm; Chrm Harvest Cap) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +63,719 147,968 owned after | $0.00 | 2012-02-10 | |
| 2012-02-08 | 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) | +86,475 227,871 owned after | $0.00 | 2012-02-10 | |
| 2012-02-08 | Mack Carter D Director, Officer (President) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +86,475 227,871 owned after | $0.00 | 2012-02-10 | |
| 2012-02-08 | Ledbetter Kent Other (executive committee member) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +63,719 114,775 owned after | $0.00 | 2012-02-10 | |
| 2012-02-08 | Jackson Raymond Officer (CFO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,505 71,709 owned after | $0.00 | 2012-02-10 |