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: 44 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-12-31: Reporting owner Tongue Glenn H; Form 4; Security Restricted Share Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-12-31: Reporting owner Johnson Craig R; Form 4; Security Restricted Share Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-12-31: Reporting owner Jackson Raymond; Form 4; Security Restricted Share Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-12-31: Reporting owner Lunenburg Harry Mark; Form 4; Security Restricted Share 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 |
|---|---|---|---|---|---|---|---|---|
| 2015-12-31 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,727 0 owned after | $0.00 | 2016-01-05 | |
| 2015-12-31 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,633 81,093 owned after | $0.00 | 2016-01-05 | |
| 2015-12-31 | Jackson Raymond Officer (CFO) | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −723 13,233 owned after | $0.00 | 2016-01-05 | |
| 2015-12-31 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,386 0 owned after | $0.00 | 2016-01-05 | |
| 2015-12-31 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,045 0 owned after | $0.00 | 2016-01-05 | |
| 2015-12-31 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,068 0 owned after | $0.00 | 2016-01-05 | |
| 2015-12-31 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,045 0 owned after | $0.00 | 2016-01-05 | |
| 2015-12-01 | Ledbetter Kent Other (executive committee member) | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,765 165,047 owned after | $0.00 | 2015-12-03 | |
| 2015-12-01 | Ledbetter Kent Other (executive committee member) | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −52,523 112,524 owned after | $0.00 | 2015-12-03 | |
| 2015-12-01 | Jackson Raymond Officer (CFO) | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,236 27,189 owned after | $0.00 | 2015-12-03 | |
| 2015-12-01 | Jackson Raymond Officer (CFO) | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,233 13,956 owned after | $0.00 | 2015-12-03 | |
| 2015-12-01 | Mack Carter D Director, Officer (President) | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,306 23,876 owned after | $0.00 | 2015-12-03 | |
| 2015-12-01 | Mack Carter D Director, Officer (President) | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,937 11,939 owned after | $0.00 | 2015-12-03 | |
| 2015-12-01 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,407 92,957 owned after | $0.00 | 2015-12-03 | |
| 2015-12-01 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,231 82,726 owned after | $0.00 | 2015-12-03 | |
| 2015-12-01 | Lehmann Mark L Director, Officer (President, JMP Securities) | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,730 106,938 owned after | $0.00 | 2015-12-03 | |
| 2015-12-01 | Lehmann Mark L Director, Officer (President, JMP Securities) | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,231 96,707 owned after | $0.00 | 2015-12-03 | |
| 2015-12-01 | Jolson Joseph A Director, Officer (CEO), 10% Owner | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −82,901 37,519 owned after | $0.00 | 2015-12-03 | |
| 2015-12-01 | Jolson Joseph A Director, Officer (CEO), 10% Owner | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,758 18,761 owned after | $0.00 | 2015-12-03 | |
| 2015-09-30 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,046 2,045 owned after | $0.00 | 2015-10-02 | |
| 2015-09-30 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,046 2,045 owned after | $0.00 | 2015-10-02 | |
| 2015-09-30 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,070 3,068 owned after | $0.00 | 2015-10-02 | |
| 2015-09-30 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,729 2,727 owned after | $0.00 | 2015-10-02 | |
| 2015-09-30 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,387 2,386 owned after | $0.00 | 2015-10-02 | |
| 2015-06-30 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,047 4,091 owned after | $0.00 | 2015-07-01 | |
| 2015-06-30 | 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) | −3,070 6,138 owned after | $0.00 | 2015-07-01 | |
| 2015-06-30 | 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) | −2,047 4,091 owned after | $0.00 | 2015-07-01 | |
| 2015-06-30 | 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) | −2,729 5,456 owned after | $0.00 | 2015-07-01 | |
| 2015-06-30 | 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) | −2,388 4,773 owned after | $0.00 | 2015-07-01 | |
| 2015-03-31 | Tongue Glenn H Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,729 8,185 owned after | $0.00 | 2015-04-02 | |
| 2015-03-31 | Lunenburg Harry Mark Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,388 7,161 owned after | $0.00 | 2015-04-02 | |
| 2015-03-31 | Orszag Jonathan M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,047 6,138 owned after | $0.00 | 2015-04-02 | |
| 2015-03-31 | Karmin Kenneth M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,070 9,208 owned after | $0.00 | 2015-04-02 | |
| 2015-03-31 | DiPietro David M Director | 4 | Restricted Stock Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,047 6,138 owned after | $0.00 | 2015-04-02 | |
| 2015-02-11 | DiPietro David M Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,185 8,185 owned after | $0.00 | 2015-02-13 | |
| 2015-02-11 | Karmin Kenneth M Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,278 12,278 owned after | $0.00 | 2015-02-13 | |
| 2015-02-11 | Orszag Jonathan M Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,185 8,185 owned after | $0.00 | 2015-02-13 | |
| 2015-02-11 | Lunenburg Harry Mark Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,549 9,549 owned after | $0.00 | 2015-02-13 | |
| 2015-02-11 | Tongue Glenn H Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,914 10,914 owned after | $0.00 | 2015-02-13 | |
| 2015-02-04 | Ledbetter Kent Other (executive committee member) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +105,047 200,812 owned after | $0.00 | 2015-02-06 | |
| 2015-02-04 | Jackson Raymond Officer (CFO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +26,466 38,425 owned after | $0.00 | 2015-02-06 | |
| 2015-02-04 | 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) | +20,463 117,668 owned after | $0.00 | 2015-02-06 | |
| 2015-02-04 | Mack Carter D Director, Officer (President) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,874 38,182 owned after | $0.00 | 2015-02-06 | |
| 2015-02-04 | 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) | +37,517 120,420 owned after | $0.00 | 2015-02-06 |