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: 33 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-01: Reporting owner Wright Thomas Rowe; Form 4; Security Restricted Share Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-12-01: Reporting owner Wright Thomas Rowe; Form 4; Security Restricted Share Unit; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-12-01: 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.
- 2017-12-01: 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.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-12-01 | 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 | −3,552 9,288 owned after | $0.00 | 2017-12-05 | |
| 2017-12-01 | 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 3,552 owned after | $0.00 | 2017-12-05 | |
| 2017-12-01 | 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 2 owned after | $0.00 | 2017-12-05 | |
| 2017-12-01 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,769 11,015 owned after | $0.00 | 2017-12-05 | |
| 2017-12-01 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,507 5,508 owned after | $0.00 | 2017-12-05 | |
| 2017-12-01 | Jackson Raymond Officer (CFO) | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,163 0 owned after | $0.00 | 2017-12-05 | |
| 2017-10-02 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,836 2,837 owned after | $0.00 | 2017-10-10 | |
| 2017-10-02 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,431 2,431 owned after | $0.00 | 2017-10-10 | |
| 2017-10-02 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,647 3,647 owned after | $0.00 | 2017-10-10 | |
| 2017-10-02 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,431 2,431 owned after | $0.00 | 2017-10-10 | |
| 2017-10-02 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,242 3,242 owned after | $0.00 | 2017-10-10 | |
| 2017-07-02 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,241 6,484 owned after | $0.00 | 2017-07-05 | |
| 2017-07-02 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,836 5,673 owned after | $0.00 | 2017-07-05 | |
| 2017-07-02 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,647 7,294 owned after | $0.00 | 2017-07-05 | |
| 2017-07-02 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,431 4,862 owned after | $0.00 | 2017-07-05 | |
| 2017-07-02 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,431 4,862 owned after | $0.00 | 2017-07-05 | |
| 2017-04-01 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,241 9,725 owned after | $0.00 | 2017-04-05 | |
| 2017-04-01 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,646 10,941 owned after | $0.00 | 2017-04-05 | |
| 2017-04-01 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,431 7,293 owned after | $0.00 | 2017-04-05 | |
| 2017-04-01 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,836 8,509 owned after | $0.00 | 2017-04-05 | |
| 2017-04-01 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,431 7,293 owned after | $0.00 | 2017-04-05 | |
| 2017-03-16 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,587 14,587 owned after | $0.00 | 2017-03-20 | |
| 2017-03-16 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,966 12,966 owned after | $0.00 | 2017-03-20 | |
| 2017-03-16 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,724 9,724 owned after | $0.00 | 2017-03-20 | |
| 2017-03-16 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,724 9,724 owned after | $0.00 | 2017-03-20 | |
| 2017-03-16 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,345 11,345 owned after | $0.00 | 2017-03-20 | |
| 2017-02-07 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,015 37,784 owned after | $0.00 | 2017-02-14 | |
| 2017-02-07 | Wright Thomas Rowe Officer (Director of Equities) | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,104 12,840 owned after | $0.00 | 2017-02-14 | |
| 2017-01-01 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,181 0 owned after | $0.00 | 2017-01-04 | |
| 2017-01-01 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,907 0 owned after | $0.00 | 2017-01-04 | |
| 2017-01-01 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,544 0 owned after | $0.00 | 2017-01-04 | |
| 2017-01-01 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,271 0 owned after | $0.00 | 2017-01-04 | |
| 2017-01-01 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,181 0 owned after | $0.00 | 2017-01-04 |