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: 23 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-31: Reporting owner Jolson Joseph A; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-31: Reporting owner Jolson Joseph A; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-31: Reporting owner Jolson Joseph A; Form 4; Security Restricted Stock Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-31: Reporting owner Lehmann Mark L; 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-12-31 | 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 | −12,019 252,279 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | 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 | −86,475 165,804 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | 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 | −82,901 82,903 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | 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 | −73,472 117,950 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | 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 | −10,016 107,934 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | 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 | −10,729 97,205 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | 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 | −86,475 38,630 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | 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 | −10,016 28,614 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | 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 | −14,306 14,308 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | 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 | −63,719 141,546 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | 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 | −10,016 131,530 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | 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 | −35,765 95,765 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | Jackson Raymond Officer (CFO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,505 26,839 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | Jackson Raymond Officer (CFO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,645 23,194 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | Jackson Raymond Officer (CFO) | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,235 11,959 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | Tongue Glenn H Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,728 2,649 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | 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 0 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | Orszag Jonathan M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,250 1,986 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | Orszag Jonathan M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,986 0 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | Lunenburg Harry Mark Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,777 2,317 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | Lunenburg Harry Mark Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,317 0 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | DiPietro David M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,201 1,987 owned after | $0.00 | 2015-01-05 | |
| 2014-12-31 | 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 0 owned after | $0.00 | 2015-01-05 |