SEC Form 4 · accession 0001246360-18-002442
JMP GROUP LLC · JMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carter D Mack
Officer — President · Director
Period of report
Oct 30, 2018
Accepted (ET)
Oct 30, 2018 · 4:07 pm 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,F2 | Oct 30, 2018 | P | 20,000 | $4.9983 | A | 1,064,710 | I | By Trust |
| Common Shares | holding | — | — | — | 303,921 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The range of prices for the common shares is from $4.98 to $5.00. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.
- F2Held by the Mack Trust dated February 14, 2002.