SEC Form 4 · accession 0001246360-17-002334
JMP GROUP LLC · JMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond Jackson
Officer — CFO
Period of report
Jul 5, 2017
Accepted (ET)
Jul 10, 2017 · 6:00 am 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 Shares | Jul 5, 2017 | M | 50,000 | $6.24 | A | 146,664 | D | |
| Common Shares | Jul 5, 2017 | S | 50,000 | $7.50 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| NQSO Stock OptionF1 | $6.24 | Jul 5, 2017 | M | 50,000 | D | Jan 1, 2016 | Dec 31, 2018 | Common Shares | 50,000 | 40,000 | D |
Explanation of responses
- F1NQSO Stock Option exercised pursuant to a Rule 10b5-1 Purchase Plan of the Reporting Person.