JMP Group LLC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 2 rows, 2 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-07-05: Reporting owner Jackson Raymond; Form 4; Security NQSO Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-03-14: Reporting owner Wright Thomas Rowe; Form 3; Security NQSO Stock Option; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-07-05 | Jackson Raymond Officer (CFO) | 4 | NQSO Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 40,000 owned after | $6.24 exercise price | 2017-07-10 | |
| 2016-03-14 holding as of filing | Wright Thomas Rowe Officer (Director of Equities) | 3 | NQSO Stock Option Derivative · Direct | Holding | $6.24 exercise price | 2016-03-14 |