SEC Form 4 · accession 0001246360-15-000146
JMP GROUP LLC · JMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carter D Mack
Officer — President · Director
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 7:14 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 SharesF2,F3 | Dec 31, 2014 | M | 86,475 | $0.00 | A | 302,084 | D | |
| Common SharesF4 | Dec 31, 2014 | M | 10,016 | $0.00 | A | 312,100 | D | |
| Common SharesF5 | Dec 31, 2014 | M | 14,306 | $0.00 | A | 326,406 | D | |
| Common SharesF9 | Dec 31, 2014 | F | 42,487 | $0.00 | D | 283,919 | D | |
| Common SharesF1 | holding | — | — | — | 1,024,710 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF6,F7,F8 | — | Dec 31, 2014 | M | 86,475 | D | — | — | Common Shares | 86,475 | 38,630 | D |
| Restricted Stock UnitF6,F7,F8 | — | Dec 31, 2014 | M | 10,016 | D | — | — | Common Shares | 10,016 | 28,614 | D |
| Restricted Stock UnitF6,F7,F8 | — | Dec 31, 2014 | M | 14,306 | D | — | — | Common Shares | 14,306 | 14,308 | D |
Explanation of responses
- F1Held by the Mack Trust dated February 14, 2002.
- F2On 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.
- F3Acquisition of common shares resulting from the vesting of 100% of the company performance restricted stock units granted on February 8, 2012.
- F4Reflects the vesting of the final 50% of the deferred restricted stock units granted on February 11, 2013.
- F5Reflects the vesting of 50% of the deferred restricted stock units granted on February 11, 2014.
- F6Each 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.
- F7Reflects vesting of restricted stock units described above.
- F8Restricted stock units expire upon vesting.
- F9Disposition 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.