SEC Form 4 · accession 0001246360-17-003207
JMP GROUP LLC · JMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Craig R Johnson
Director
Period of report
Dec 1, 2017
Accepted (ET)
Dec 5, 2017 · 4:42 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, 2017 | M | 26,769 | $0.00 | A | 357,467 | D | |
| Common SharesF2 | Dec 1, 2017 | M | 5,507 | $0.00 | A | 362,974 | D | |
| Common SharesF4 | Dec 1, 2017 | M | 10,059 | $5.38 | D | 352,915 | D | |
| Common SharesF5 | Dec 1, 2017 | M | 2,069 | $5.38 | D | 350,846 | 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, 2017 | M | 26,769 | D | Dec 1, 2017 | Dec 1, 2017 | Common Shares | 26,769 | 11,015 | D |
| Restricted Share UnitF3 | $0.00 | Dec 1, 2017 | M | 5,507 | D | Dec 1, 2017 | Dec 1, 2017 | Common Shares | 5,507 | 5,508 | 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 3, 2016.
- F2Acquisition of common shares resulting from the vesting and delivery of the initial 50% of the restricted share units granted on February 7, 2017.
- 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 3, 2016.
- 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 7, 2017.