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: 30 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-12-01: 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.
- 2018-12-01: 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.
- 2018-12-01: 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.
- 2018-10-02: Reporting owner DiPietro David M; 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-12-01 | 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 0 owned after | $0.00 | 2018-12-04 | |
| 2018-12-01 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,508 16,716 owned after | $0.00 | 2018-12-04 | |
| 2018-12-01 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,358 8,358 owned after | $0.00 | 2018-12-04 | |
| 2018-10-02 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,809 2,809 owned after | $0.00 | 2018-10-09 | |
| 2018-10-02 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,213 4,214 owned after | $0.00 | 2018-10-09 | |
| 2018-10-02 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,277 3,277 owned after | $0.00 | 2018-10-09 | |
| 2018-10-02 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,745 3,746 owned after | $0.00 | 2018-10-09 | |
| 2018-10-02 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,809 2,809 owned after | $0.00 | 2018-10-09 | |
| 2018-07-02 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,809 5,618 owned after | $0.00 | 2018-07-02 | |
| 2018-07-01 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,809 5,618 owned after | $0.00 | 2018-07-02 | |
| 2018-07-01 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,745 7,491 owned after | $0.00 | 2018-07-02 | |
| 2018-07-01 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,277 6,554 owned after | $0.00 | 2018-07-02 | |
| 2018-07-01 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,213 8,427 owned after | $0.00 | 2018-07-02 | |
| 2018-04-02 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,808 8,427 owned after | $0.00 | 2018-04-02 | |
| 2018-04-02 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,745 11,236 owned after | $0.00 | 2018-04-02 | |
| 2018-04-02 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,808 8,427 owned after | $0.00 | 2018-04-02 | |
| 2018-04-02 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,213 12,640 owned after | $0.00 | 2018-04-02 | |
| 2018-04-02 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,277 9,831 owned after | $0.00 | 2018-04-02 | |
| 2018-03-15 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,235 11,235 owned after | $0.00 | 2018-03-19 | |
| 2018-03-15 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,235 11,235 owned after | $0.00 | 2018-03-19 | |
| 2018-03-15 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,981 14,981 owned after | $0.00 | 2018-03-19 | |
| 2018-03-15 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,108 13,108 owned after | $0.00 | 2018-03-19 | |
| 2018-03-15 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,853 16,853 owned after | $0.00 | 2018-03-19 | |
| 2018-02-06 | Johnson Craig R Director | 4 | Restricted Share Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,716 22,224 owned after | $0.00 | 2018-02-07 | |
| 2018-01-01 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,809 0 owned after | $0.00 | 2019-01-02 | |
| 2018-01-01 | Orszag Jonathan M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,431 0 owned after | $0.00 | 2018-01-04 | |
| 2018-01-01 | Lunenburg Harry Mark Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,837 0 owned after | $0.00 | 2018-01-04 | |
| 2018-01-01 | Tongue Glenn H Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,242 0 owned after | $0.00 | 2018-01-04 | |
| 2018-01-01 | Karmin Kenneth M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,647 0 owned after | $0.00 | 2018-01-04 | |
| 2018-01-01 | DiPietro David M Director | 4 | Restricted Share Unit Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,431 0 owned after | $0.00 | 2018-01-04 |