SEC Form 4 · accession 0001246360-15-003675
JMP GROUP LLC · JMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond Jackson
Officer — CFO
Period of report
Dec 1, 2015
Accepted (ET)
Dec 3, 2015 · 4:00 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 | Dec 1, 2015 | M | 11,236 | $0.00 | A | 79,990 | D | |
| Common SharesF2 | Dec 1, 2015 | M | 13,233 | $0.00 | A | 93,223 | D | |
| Common SharesF6 | Dec 1, 2015 | F | 5,862 | $6.19 | D | 87,361 | D | |
| Common SharesF7 | Dec 1, 2015 | F | 6,904 | $6.19 | D | 80,457 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitF3,F4 | $0.00 | Dec 1, 2015 | M | 11,236 | D | Dec 1, 2015 | Dec 1, 2015 | Common Shares | 11,236 | 27,189 | D |
| Restricted Share UnitF3,F5 | $0.00 | Dec 1, 2015 | M | 13,233 | D | Dec 1, 2015 | Dec 1, 2015 | Common Shares | 13,233 | 13,956 | D |
Explanation of responses
- F1Acquisition of common shares resulting from the vesting and delivery of the remaining 50% of the restricted share units granted on February 11, 2014.
- F2Acquisition of common shares resulting from the vesting and delivery of 50% of the restricted share units granted on February4, 2015.
- F3Each 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.
- F4The issuer and the reporting person mutually agreed to accelerate the vesting date for the remaining 50% of the Deferred Restricted Share Units granted on February 11, 2014, from December 31, 2015, to December 1, 2015.
- F5The issuer and the reporting person mutually agreed to accelerate the vesting date for the 50% of the Deferred Restricted Share Units granted on February 4, 2015, from December 31, 2015, to December 1, 2015.
- F6Disposition of common shares resulting from the withholding of securities for the payment of tax liability relating to the vesting and delivery of the remaining 50% of the restricted share units granted on February 11, 2014.
- F7Disposition of common shares resulting from the withholding of securities for the payment of tax liability relating to the vesting and delivery of 50% of the restricted share units granted on February 4, 2015.