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: 35 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-01: Reporting owner Jolson Joseph A; Form 4; Security Restricted Share Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-01: Reporting owner Jolson Joseph A; Form 4; Security Restricted Share Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-01: Reporting owner Jackson Raymond; Form 4; Security Restricted Share Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-01: Reporting owner Jackson Raymond; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-12-01 | 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 | −18,759 49,492 owned after | $0.00 | 2016-12-05 | |
| 2016-12-01 | 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 | −24,745 24,747 owned after | $0.00 | 2016-12-05 | |
| 2016-12-01 | 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 10,325 owned after | $0.00 | 2016-12-05 | |
| 2016-12-01 | Jackson Raymond Officer (CFO) | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,162 5,163 owned after | $0.00 | 2016-12-05 | |
| 2016-12-01 | Wright Thomas Rowe Officer (Director of Equities) | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,805 11,472 owned after | $0.00 | 2016-12-05 | |
| 2016-12-01 | Wright Thomas Rowe Officer (Director of Equities) | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,736 5,736 owned after | $0.00 | 2016-12-05 | |
| 2016-12-01 | 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 | −10,232 0 owned after | $0.00 | 2016-12-05 | |
| 2016-12-01 | 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 0 owned after | $0.00 | 2016-12-05 | |
| 2016-12-01 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,232 53,537 owned after | $0.00 | 2016-12-05 | |
| 2016-12-01 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,768 26,769 owned after | $0.00 | 2016-12-05 | |
| 2016-10-01 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,180 2,181 owned after | $0.00 | 2016-10-04 | |
| 2016-10-01 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,907 2,907 owned after | $0.00 | 2016-10-04 | |
| 2016-10-01 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,270 3,271 owned after | $0.00 | 2016-10-04 | |
| 2016-10-01 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,180 2,181 owned after | $0.00 | 2016-10-04 | |
| 2016-10-01 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,544 2,544 owned after | $0.00 | 2016-10-04 | |
| 2016-07-01 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | Holding | −2,907 5,814 owned after | $0.00 | 2016-07-05 | |
| 2016-07-01 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,180 4,361 owned after | $0.00 | 2016-07-05 | |
| 2016-07-01 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,270 6,541 owned after | $0.00 | 2016-07-05 | |
| 2016-07-01 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,180 4,361 owned after | $0.00 | 2016-07-05 | |
| 2016-07-01 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,543 5,088 owned after | $0.00 | 2016-07-05 | |
| 2016-04-01 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,180 6,541 owned after | $0.00 | 2016-04-04 | |
| 2016-04-01 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,180 6,541 owned after | $0.00 | 2016-04-04 | |
| 2016-04-01 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,907 8,721 owned after | $0.00 | 2016-04-04 | |
| 2016-04-01 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,270 9,811 owned after | $0.00 | 2016-04-04 | |
| 2016-04-01 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,543 7,631 owned after | $0.00 | 2016-04-04 | |
| 2016-03-17 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,721 8,721 owned after | $0.00 | 2016-03-18 | |
| 2016-03-17 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,081 13,081 owned after | $0.00 | 2016-03-18 | |
| 2016-03-17 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,174 10,174 owned after | $0.00 | 2016-03-18 | |
| 2016-03-17 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,721 8,721 owned after | $0.00 | 2016-03-18 | |
| 2016-03-17 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,628 11,628 owned after | $0.00 | 2016-03-18 | |
| 2016-03-14 holding as of filing | Wright Thomas Rowe Officer (Director of Equities) | 3 | Restricted Share Unit Derivative · Direct | Holding | no price filed | 2016-03-14 | ||
| 2016-02-03 | Ledbetter Kent Other (executive committee member) | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,472 123,996 owned after | $0.00 | 2016-02-05 | |
| 2016-02-03 | Jackson Raymond Officer (CFO) | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,325 23,558 owned after | $0.00 | 2016-02-05 | |
| 2016-02-03 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,537 134,630 owned after | $0.00 | 2016-02-05 | |
| 2016-02-03 | 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) | +49,490 68,251 owned after | $0.00 | 2016-02-05 |