JMP Group LLC 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 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-11-15: Reporting owner Orszag Jonathan M; Form 4; Security Restricted Share Unit; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2021-11-15: Reporting owner Slaughter Staci; Form 4; Security Restricted Share Unit; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2021-11-15: Reporting owner Tongue Glenn H; Form 4; Security Restricted Share Unit; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2021-11-15: Reporting owner Lunenburg Harry Mark; Form 4; Security Restricted Share Unit; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-11-15 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,457 0 owned after | $0.00 | 2021-11-17 | |
| 2021-11-15 | Slaughter Staci Director | 4 | Restricted Share Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,048 0 owned after | $0.00 | 2021-11-17 | |
| 2021-11-15 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,274 0 owned after | $0.00 | 2021-11-17 | |
| 2021-11-15 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,864 0 owned after | $0.00 | 2021-11-17 | |
| 2021-11-15 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,683 0 owned after | $0.00 | 2021-11-17 | |
| 2021-11-15 | Wright Thomas Rowe Officer (Director of Equities) | 4 | Restricted Share Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,862 0 owned after | $0.00 | 2021-11-17 | |
| 2021-11-15 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,097 0 owned after | $0.00 | 2021-11-17 | |
| 2021-11-15 | Jolson Joseph A Director, Officer (CEO), 10% Owner | 4 | Restricted Share Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −125,129 0 owned after | $0.00 | 2021-11-17 | |
| 2021-10-01 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,273 3,274 owned after | $0.00 | 2021-11-17 | |
| 2021-10-01 | Slaughter Staci Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,045 2,048 owned after | $0.00 | 2021-10-01 | |
| 2021-10-01 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,864 2,864 owned after | $0.00 | 2021-10-01 | |
| 2021-10-01 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,454 2,457 owned after | $0.00 | 2021-10-01 | |
| 2021-10-01 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,682 3,683 owned after | $0.00 | 2021-10-01 | |
| 2021-07-01 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,454 4,911 owned after | $0.00 | 2021-07-06 | |
| 2021-07-01 | Slaughter Staci Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,045 4,093 owned after | $0.00 | 2021-07-06 | |
| 2021-07-01 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,273 6,547 owned after | $0.00 | 2021-07-06 | |
| 2021-07-01 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,864 5,728 owned after | $0.00 | 2021-07-06 | |
| 2021-07-01 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,682 7,365 owned after | $0.00 | 2021-07-06 | |
| 2021-04-01 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,864 8,592 owned after | $0.00 | 2021-04-05 | |
| 2021-04-01 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,273 9,820 owned after | $0.00 | 2021-04-05 | |
| 2021-04-01 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,454 7,365 owned after | $0.00 | 2021-04-05 | |
| 2021-04-01 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,682 11,047 owned after | $0.00 | 2021-04-05 | |
| 2021-04-01 | Slaughter Staci Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,045 6,138 owned after | $0.00 | 2021-04-05 | |
| 2021-04-01 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,454 7,365 owned after | $0.00 | 2021-04-05 | |
| 2021-03-25 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,093 13,093 owned after | $0.00 | 2021-03-29 | |
| 2021-03-25 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,819 9,819 owned after | $0.00 | 2021-03-29 | |
| 2021-03-25 | Slaughter Staci Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,183 8,183 owned after | $0.00 | 2021-03-29 | |
| 2021-03-25 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,819 9,819 owned after | $0.00 | 2021-03-29 | |
| 2021-03-25 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,456 11,456 owned after | $0.00 | 2021-03-29 | |
| 2021-03-25 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,729 14,729 owned after | $0.00 | 2021-03-29 | |
| 2021-02-11 holding as of filing | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | Holding | 3,860 owned after | no price filed | 2021-02-11 | |
| 2021-02-04 | Jolson Joseph A Director, Officer (CEO), 10% Owner | 4/A | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +125,129 0 owned after | $0.00 | 2021-04-22 | |
| 2021-02-04 | Jolson Joseph A Director, Officer (CEO), 10% Owner | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +138,226 138,226 owned after | $0.00 | 2021-02-11 | |
| 2021-02-04 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,097 13,097 owned after | $0.00 | 2021-02-11 | |
| 2021-01-01 | Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,122 0 owned after | $0.00 | 2021-01-04 | |
| 2021-01-01 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,759 0 owned after | $0.00 | 2021-01-04 | |
| 2021-01-01 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,069 0 owned after | $0.00 | 2021-01-04 | |
| 2021-01-01 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,912 0 owned after | $0.00 | 2021-01-04 | |
| 2021-01-01 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,602 0 owned after | $0.00 | 2021-01-04 | |
| 2021-01-01 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,069 0 owned after | $0.00 | 2021-01-04 |