SEC Form 4 · accession 0001246360-18-002576
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, 2018
Accepted (ET)
Dec 4, 2018 · 4:07 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, 2018 | M | 3,552 | $0.00 | A | 385,117 | D | |
| Common SharesF3 | Dec 1, 2018 | M | 1,357 | $4.91 | D | 383,760 | 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 UnitF2 | $0.00 | Dec 1, 2018 | M | 3,552 | D | Dec 1, 2018 | Dec 1, 2018 | Common Shares | 3,552 | 0 | 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 7, 2017.
- 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.
- F3Disposition 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 7, 2017.