JMP Group LLC Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows, 11 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-03-14: Reporting owner Wright Thomas Rowe; Form 3; Security Share Appreciation Right; Transaction Holding.
- 2015-02-11: Reporting owner DiPietro David M; Form 4; Security Share Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-02-11: Reporting owner Karmin Kenneth M; Form 4; Security Share Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-02-11: Reporting owner Orszag Jonathan M; Form 4; Security Share Appreciation Right; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-03-14 holding as of filing | Wright Thomas Rowe Officer (Director of Equities) | 3 | Share Appreciation Right Derivative · Direct | Holding | $7.33 exercise price | 2016-03-14 | ||
| 2015-02-11 | DiPietro David M Director | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,500 43,500 owned after | $7.33 exercise price | 2015-02-13 | |
| 2015-02-11 | Karmin Kenneth M Director | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,250 65,250 owned after | $7.33 exercise price | 2015-02-13 | |
| 2015-02-11 | Orszag Jonathan M Director | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,500 43,500 owned after | $7.33 exercise price | 2015-02-13 | |
| 2015-02-11 | Lunenburg Harry Mark Director | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,500 43,500 owned after | $7.33 exercise price | 2015-02-13 | |
| 2015-02-11 | Tongue Glenn H Director | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,500 43,500 owned after | $7.33 exercise price | 2015-02-13 | |
| 2015-02-04 | Ledbetter Kent Other (executive committee member) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $7.33 exercise price | 2015-02-06 | |
| 2015-02-04 | Jackson Raymond Officer (CFO) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $7.33 exercise price | 2015-02-06 | |
| 2015-02-04 | Lehmann Mark L Director, Officer (President, JMP Securities) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $7.33 exercise price | 2015-02-06 | |
| 2015-02-04 | Mack Carter D Director, Officer (President) | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $7.33 exercise price | 2015-02-06 | |
| 2015-02-04 | Jolson Joseph A Director, Officer (CEO), 10% Owner | 4 | Share Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $7.33 exercise price | 2015-02-06 |