SEC Form 4 · accession 0001246360-15-000144
JMP GROUP LLC · JMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Raymond Jackson
Officer — CFO
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 6:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001302350
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1,F2 | Dec 31, 2014 | M | 19,505 | $0.00 | A | 67,645 | D | |
| Common SharesF3 | Dec 31, 2014 | M | 3,645 | $0.00 | A | 71,290 | D | |
| Common SharesF4 | Dec 31, 2014 | M | 11,235 | $0.00 | A | 82,525 | D | |
| Common SharesF8 | Dec 31, 2014 | F | 13,672 | $0.00 | D | 68,853 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF5,F6,F7 | — | Dec 31, 2014 | M | 19,505 | D | — | — | Common Shares | 19,505 | 26,839 | D |
| Restricted Stock UnitF5,F6,F7 | — | Dec 31, 2014 | M | 3,645 | D | — | — | Common Shares | 3,645 | 23,194 | D |
| Restricted Stock UnitF5,F6,F7 | — | Dec 31, 2014 | M | 11,235 | D | — | — | Common Shares | 11,235 | 11,959 | D |
Explanation of responses
- F1On January 1, 2015, JMP Group Inc., a Delaware corporation (JMP Inc.) merged with an into and JMP Merger Corp., a Delaware Corporation and wholly owned subsidiary of JMP Group LLC ( JMP LLC), with JMP LLC as the successor issuer to JMP Inc. pursuant to Rule 12g-3(a) under the Securities Exchange Act of 1934, as amended.
- F2Acquisition of common shares resulting from the vesting of 100% of the company performance restricted stock units granted on February 8, 2012.
- F3Reflects the vesting of the final 50% of the deferred restricted stock units granted on February 11, 2013.
- F4Reflects the vesting of 50% of the deferred restricted stock units granted on February 11, 2014.
- F5Each unit represents a right to receive one common share or an amount equal to the fair market value of one common share on the applicable vesting date.
- F6Reflects vesting of restricted stock units described above.
- F7Restricted stock units expire upon vesting.
- F8Disposition of common shares resulting from the withholding of securities for the payment of tax liability relating to the vesting of the restricted stock units described above.