SEC Form 4 · accession 0001246360-16-007289
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, 2016
Accepted (ET)
Dec 5, 2016 · 6:42 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, 2016 | M | 13,233 | $0.00 | A | 98,413 | D | |
| Common SharesF2 | Dec 1, 2016 | M | 5,162 | $0.00 | A | 103,575 | D | |
| Common SharesF4 | Dec 1, 2016 | F | 4,972 | $6.22 | D | 98,603 | D | |
| Common SharesF5 | Dec 1, 2016 | F | 1,939 | $6.22 | D | 96,664 | 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 | $0.00 | Dec 1, 2016 | M | 13,233 | D | Dec 1, 2016 | Dec 1, 2016 | Common Shares | 13,233 | 10,325 | D |
| Restricted Share UnitF3 | $0.00 | Dec 1, 2016 | M | 5,162 | D | Dec 1, 2016 | Dec 1, 2016 | Common Shares | 5,162 | 5,163 | 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 4, 2015.
- F2Acquisition of common shares resulting from the vesting and delivery of the initial 50% of the restricted share units granted on February 3, 2016.
- 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.
- F4Disposition of common shares to the Issuer 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 4, 2015.
- F5Disposition of common shares to the Issuer resulting from the withholding of securities for the payment of tax liability relating to the vesting and delivery of the initial 50% of the restricted share units granted on February 3, 2016.