SEC Form 4 · accession 0001246360-18-002341
JMP GROUP LLC · JMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Glenn H Tongue
Director
Period of report
Oct 2, 2018
Accepted (ET)
Oct 9, 2018 · 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 SharesF1 | Oct 2, 2018 | M | 3,745 | $0.00 | A | 173,371 | D | |
| Common Shares | holding | — | — | — | 34,886 | I | By Deerhaven Fund, LP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitF2 | $0.00 | Oct 2, 2018 | M | 3,745 | D | Oct 1, 2018 | Oct 1, 2018 | Common Shares | 3,745 | 3,746 | D |
Explanation of responses
- F1Acquisition of common shares resulting from the vesting and delivery of 25% of the restricted share units granted on March 15, 2018.
- F2Each 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.