SEC Form 4 · accession 0001246360-18-002536
JMP GROUP LLC · JMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph A Jolson
Officer — CEO · Director · 10% Owner
Period of report
Nov 16, 2018
Accepted (ET)
Nov 20, 2018 · 5:49 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 SharesF3,F4 | Nov 16, 2018 | P | 1,401 | $4.8907 | A | 4,791,899 | I | By Jolson 1991 Trust |
| Common SharesF3,F4 | Nov 19, 2018 | P | 1,000 | $4.916 | A | 4,792,899 | I | By Jolson 1991 Trust |
| Common SharesF3,F4 | Nov 20, 2018 | P | 1,799 | $4.9228 | A | 4,794,698 | I | By Jolson 1991 Trust |
| Common SharesF1 | holding | — | — | — | 75,000 | I | By Foundation | |
| Common Shares | holding | — | — | — | 77,026 | D | ||
| Common SharesF2 | holding | — | — | — | 1,287,584 | I | By Jolson 1996 Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects common shares held by The Jolson Family Foundation, of which Mr. Jolson is President and Treasurer. Mr. Jolson disclaims beneficial ownership of the shares.
- F2Reflects common shares held by the Joseph A. Jolson 1996 Trust dtd 3/7/96, of which Mr. Jolson is a trustee.
- F3Reflects the acquisition of common shares pursuant to the Rule 10b5-1 Purchase Plan of the Reporting Person.
- F4Reflects common shares held by the Joseph A. Jolson 1991 Trust , of which Mr. Jolson is a trustee.