SEC Form 4 · accession 0001246360-16-006850
JMP GROUP LLC · JMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph A Jolson
Officer — CEO · Director · 10% Owner
Period of report
Sep 28, 2016
Accepted (ET)
Sep 30, 2016 · 4:21 pm EDT
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 SharesF3,F4 | Sep 28, 2016 | P | 300 | $5.50 | A | 4,392,650 | I | By Jolson 1991 Trust |
| Common SharesF3,F5,F4 | Sep 29, 2016 | P | 5,757 | $5.4906 | A | 4,398,407 | I | By Jolson 1991 Trust |
| Common SharesF3,F6,F4 | Sep 30, 2016 | P | 4,900 | $5.4961 | A | 4,403,307 | I | By Jolson 1991 Trust |
| Common SharesF1 | holding | — | — | — | 75,000 | I | By Foundation | |
| Common Shares | holding | — | — | — | 113,317 | D | ||
| Common SharesF2 | holding | — | — | — | 1,392,487 | I | By Jolson 1996 Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects common shares held by The Jolson Family Foundation, of which Mr. Jolson is President and Treasurer. Mr. Jolson disclaims beneficial ownership of the shares.
- F2Reflects common shares held by the Joseph A. Jolson 1996 Trust dtd 3/7/96, of which Mr. Jolson is a trustee.
- F3Reflects the acquisition of common shares pursuant to the Rule 10b5-1 Purchase Plan of the Reporting Person.
- F4Reflects common shares held by the Joseph A. Jolson 1991 Trust , of which Mr. Jolson is a trustee.
- F5The range of prices for the common shares is from 5.46 to 5.50. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.
- F6The range of prices for the common shares is from 5.47 to 5.50. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.