SEC Form 4 · accession 0001246360-15-000842
JMP GROUP LLC · JMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M DiPietro
Director
Period of report
Feb 11, 2015
Accepted (ET)
Feb 13, 2015 · 3:49 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001302350
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2 | — | Feb 11, 2015 | A | 8,185 | A | — | — | Common Shares | 8,185 | 8,185 | D |
| Share Appreciation Right | $7.33 | Feb 11, 2015 | A | 43,500 | A | Jan 1, 2018 | Dec 31, 2019 | Common Shares | 43,500 | 43,500 | D |
Explanation of responses
- F1Each 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.
- F2The restricted stock units vest 25% on March 31, 2015, 25% on June 30, 2015, 25% on September 30, 2015, and 25% on December 31, 2015; provided the Reporting Person remains in service of the board of directors and its committees (as applicable) at such date.