SEC Form 4 · accession 0001246360-17-003210
JMP GROUP LLC · JMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Rowe Wright
Officer — Director of Equities
Period of report
Dec 1, 2017
Accepted (ET)
Dec 5, 2017 · 4:56 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 | 3,552 | $0.00 | A | 367,188 | D | |
| Common SharesF2 | Dec 1, 2017 | M | 5,736 | $0.00 | A | 372,924 | D | |
| Common SharesF4 | Dec 1, 2017 | M | 1,464 | $5.38 | D | 371,460 | D | |
| Common SharesF5 | Dec 1, 2017 | M | 2,364 | $5.38 | D | 369,096 | 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 | 3,552 | D | Dec 1, 2017 | Dec 1, 2017 | Common Shares | 3,552 | 9,288 | D |
| Restricted Share UnitF3 | $0.00 | Dec 1, 2017 | M | 5,736 | D | Dec 1, 2017 | Dec 1, 2017 | Common Shares | 5,736 | 3,552 | 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.