SEC Form 5 · accession 0001246360-17-000410
JMP GROUP LLC · JMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Joseph A Jolson
Officer — CEO · Director · 10% Owner
Period of report
Dec 31, 2016
Accepted (ET)
Feb 1, 2017 · 6:14 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 SharesF3,F4 | Nov 7, 2016 | G | 181,820 | $0.00 | D | 1,210,667 | I | By Jolson 1996 Trust |
| Common SharesF1 | holding | — | — | — | 75,000 | I | By Foundation | |
| Common Shares | holding | — | — | — | 138,497 | D | ||
| Common SharesF2 | holding | — | — | — | 4,508,406 | I | By Jolson 1991 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 1991 Trust , of which Mr. Jolson is a trustee.
- F3Reflects a charitable contribution made by the reporting person.
- F4Reflects common shares held by the Joseph A. Jolson 1996 Trust dtd 3/7/96, of which Mr. Jolson is a trustee.