SEC Form 4 · accession 0001246360-18-002650
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
Dec 4, 2018
Accepted (ET)
Dec 14, 2018 · 1:28 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 | Dec 4, 2018 | P | 3,600 | $4.8113 | A | 4,804,998 | I | By Jolson 1991 Trust |
| Common SharesF3,F4 | Dec 6, 2018 | P | 10,611 | $4.7605 | A | 4,815,609 | I | By Jolson 1991 Trust |
| Common SharesF3,F4 | Dec 7, 2018 | P | 8,300 | $4.7301 | A | 4,823,909 | I | By Jolson 1991 Trust |
| Common SharesF3,F4 | Dec 10, 2018 | P | 58,355 | $4.4694 | A | 4,882,264 | I | By Jolson 1991 Trust |
| Common SharesF3,F4 | Dec 11, 2018 | P | 7,000 | $4.5803 | A | 4,889,264 | I | By Jolson 1991 Trust |
| Common SharesF3,F4 | Dec 12, 2018 | P | 5,000 | $4.6059 | A | 4,894,264 | I | By Jolson 1991 Trust |
| Common SharesF3,F4 | Dec 13, 2018 | P | 3,699 | $4.4996 | A | 4,897,963 | 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.