Company · CIK 0001302350 · SIC 6211 — Security Brokers, Dealers & Flotation Companies

JMP GROUP LLC · JMP

Insider activity reported against this company. All insider holders · Files at: HCAP. On EDGAR ↗

Period1M 3M 6M 1Y 2Y All datashares as filed — not split-adjusted

Open-market activity at this companybuys $14.9M · 84sales $375k · 1net $14.5M

Open-market trades as an insider elsewherebuys $3.4M · 39sales $0 · 0net $3.4M

Reported at this company — common stock

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Mar 8, 2019 PForm 4 →	Mar 12, 4:49 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	13,034	$4.01	$52,251	4,961,090	+0.26%	plan?
Mar 5, 2019 PForm 4 →	Mar 7, 4:35 pm EST	Joseph A JolsonCEO, Director, 10% Owner	45,738	$4.03	$184,319	4,948,056	+0.93%	plan?
Jan 1, 2019 MForm 4 →	Jan 2, 4:49 pm EST	Jonathan M OrszagDirector	2,809	—	—	62,247	—	plan?
Jan 1, 2019 MForm 4 →	Jan 2, 4:49 pm EST	Glenn H TongueDirector	3,746	—	—	177,117	—	plan?
Jan 1, 2019 MForm 4 →	Jan 2, 4:49 pm EST	Harry Mark LunenburgDirector	3,277	—	—	165,893	—	plan?
Jan 1, 2019 MForm 4 →	Jan 2, 4:49 pm EST	Kenneth M KarminDirector	4,214	—	—	202,238	—	plan?
Jan 1, 2019 MForm 4 →	Jan 2, 4:42 pm EST	David M DiPietroDirector	2,809	—	—	93,491	—	plan?
Dec 31, 2018 PForm 4 →	Jan 3, 2019, 4:07 pm EST	Joseph A JolsonCEO, Director, 10% Owner	4,500	$4.01	$18,066	4,905,057	+0.09%	plan?
Dec 21, 2018 PForm 4 →	Dec 26, 4:28 pm EST	Joseph A JolsonCEO, Director, 10% Owner	2,594	$4.08	$10,582	4,900,557	+0.05%	plan?
Dec 4, 2018 PForm 4 →	Dec 14, 1:28 pm EST	Joseph A JolsonCEO, Director, 10% Owner	96,565	$4.55	$439,642	4,897,963	+2.01%	plan? late
Dec 1, 2018 MForm 4 →	Dec 4, 4:07 pm EST	Thomas Rowe WrightDirector of Equities	4,909	$4.91	$6,663	383,760	—	plan?
Dec 1, 2018 MForm 4 →	Dec 4, 4:07 pm EST	Craig R JohnsonDirector	18,660	$4.91	$23,539	359,918	—	plan?
Nov 21, 2018 PForm 4 →	Nov 26, 4:28 pm EST	Joseph A JolsonCEO, Director, 10% Owner	6,700	$4.94	$33,128	4,801,398	+0.14%	plan?
Nov 16, 2018 PForm 4 →	Nov 20, 5:49 pm EST	Joseph A JolsonCEO, Director, 10% Owner	4,200	$4.91	$20,624	4,794,698	+0.09%	plan?
Nov 15, 2018 PForm 4 →	Feb 14, 2019, 7:49 pm EST	Joseph A JolsonCEO, Director, 10% Owner	13,420	$4.80	$64,428	4,918,477	+0.27%	plan? late
Nov 12, 2018 PForm 4 →	Nov 14, 4:42 pm EST	Joseph A JolsonCEO, Director, 10% Owner	12,376	$4.92	$60,891	4,790,498	+0.26%	plan?
Nov 5, 2018 PForm 4 →	Nov 7, 5:07 pm EST	Joseph A JolsonCEO, Director, 10% Owner	13,923	$4.99	$69,533	4,778,122	+0.29%	plan?
Oct 31, 2018 PForm 4 →	Nov 2, 4:21 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	2,797	$4.94	$13,815	4,764,199	+0.06%	plan?
Oct 30, 2018 PForm 4 →	Oct 30, 4:07 pm EDT	Carter D MackPresident, Director	20,000	$5.00	$99,966	1,064,710	+1.91%	plan?
Oct 26, 2018 PForm 4 →	Oct 30, 5:28 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	36,395	$5.02	$182,866	4,761,402	+0.77%	plan?
Oct 26, 2018 PForm 4 →	Oct 29, 5:35 pm EDT	Thomas Rowe WrightDirector of Equities	12,469	$4.98	$62,075	381,565	+3.38%	plan?
Oct 23, 2018 PForm 4 →	Oct 25, 6:07 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	87,629	$5.05	$442,178	4,725,007	+1.89%	plan?
Oct 19, 2018 PForm 4 →	Oct 23, 5:14 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	14,514	$5.05	$73,230	4,637,378	+0.31%	plan?
Oct 16, 2018 PForm 4 →	Oct 18, 6:14 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	700	$5.05	$3,535	4,622,864	+0.02%	plan?
Oct 11, 2018 PForm 4 →	Oct 15, 4:56 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	30,766	$5.05	$155,368	4,622,164	+0.67%	plan?
Oct 8, 2018 PForm 4 →	Oct 10, 5:14 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	19,994	$5.04	$100,740	4,591,398	+0.44%	plan?
Oct 2, 2018 MForm 4 →	Oct 9, 6:01 am EDT	David M DiPietroDirector	2,809	—	—	90,682	—	plan? late
Oct 2, 2018 MForm 4 →	Oct 9, 6:01 am EDT	Kenneth M KarminDirector	4,213	—	—	198,024	—	plan? late
Oct 2, 2018 MForm 4 →	Oct 9, 6:01 am EDT	Harry Mark LunenburgDirector	3,277	—	—	162,616	—	plan? late
Oct 2, 2018 MForm 4 →	Oct 9, 6:00 am EDT	Glenn H TongueDirector	3,745	—	—	173,371	—	plan? late
Oct 2, 2018 MForm 4 →	Oct 9, 6:00 am EDT	Jonathan M OrszagDirector	2,809	—	—	59,438	—	plan? late
Jul 1, 2018 MForm 4 →	Jul 2, 4:35 pm EDT	Jonathan M OrszagDirector	2,809	—	—	56,629	—	plan?
Jul 1, 2018 MForm 4 →	Jul 2, 4:35 pm EDT	Glenn H TongueDirector	3,745	—	—	169,626	—	plan?
Jul 1, 2018 MForm 4 →	Jul 2, 4:35 pm EDT	Harry Mark LunenburgDirector	3,277	—	—	159,339	—	plan?
Jul 1, 2018 MForm 4 →	Jul 2, 4:35 pm EDT	Kenneth M KarminDirector	4,213	—	—	193,811	—	plan?
Jul 1, 2018 MForm 4 →	Jul 2, 4:35 pm EDT	David M DiPietroDirector	2,809	—	—	87,873	—	plan?
Jun 13, 2018 PForm 4 →	Jun 15, 7:14 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	16,500	$5.05	$83,325	4,571,404	+0.36%	plan?
Jun 6, 2018 PForm 4 →	Jun 8, 4:14 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	5,425	$5.05	$27,396	4,554,904	+0.12%	plan?
May 14, 2018 PForm 4 →	May 16, 6:21 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	34,906	$5.05	$176,174	4,549,479	+0.77%	plan?
Apr 2, 2018 MForm 4 →	Apr 2, 5:35 pm EDT	Jonathan M OrszagDirector	2,808	—	—	53,820	—	plan?
Apr 2, 2018 MForm 4 →	Apr 2, 5:35 pm EDT	Glenn H TongueDirector	3,745	—	—	165,881	—	plan?
Apr 2, 2018 MForm 4 →	Apr 2, 5:28 pm EDT	David M DiPietroDirector	2,808	—	—	85,064	—	plan?
Apr 2, 2018 MForm 4 →	Apr 2, 5:28 pm EDT	Kenneth M KarminDirector	4,213	—	—	189,598	—	plan?
Apr 2, 2018 MForm 4 →	Apr 2, 5:28 pm EDT	Harry Mark LunenburgDirector	3,277	—	—	156,062	—	plan?
Jan 1, 2018 MForm 4 →	Jan 4, 1:49 pm EST	Jonathan M OrszagDirector	2,431	—	—	51,012	—	plan? late
Jan 1, 2018 MForm 4 →	Jan 4, 1:49 pm EST	Harry Mark LunenburgDirector	2,837	—	—	152,785	—	plan? late
Jan 1, 2018 MForm 4 →	Jan 4, 1:49 pm EST	Glenn H TongueDirector	3,242	—	—	162,136	—	plan? late
Jan 1, 2018 MForm 4 →	Jan 4, 1:49 pm EST	Kenneth M KarminDirector	3,647	—	—	185,385	—	plan? late
Jan 1, 2018 MForm 4 →	Jan 4, 1:35 pm EST	David M DiPietroDirector	2,431	—	—	82,256	—	plan? late
Dec 27, 2017 PForm 4 →	Mar 6, 2019, 5:42 pm EST	Joseph A JolsonCEO, Director, 10% Owner	9,200	$5.50	$50,554	4,927,677	+0.19%	plan? late
Dec 1, 2017 MForm 4 →	Dec 5, 4:56 pm EST	Thomas Rowe WrightDirector of Equities	13,116	$5.38	$20,595	369,096	—	plan?
Dec 1, 2017 MForm 4 →	Dec 5, 4:49 pm EST	Joseph A JolsonCEO, Director, 10% Owner	34,044	$5.38	$50,029	77,026	—	plan?
Dec 1, 2017 MForm 4 →	Dec 5, 4:42 pm EST	Craig R JohnsonDirector	44,404	$5.38	$65,249	350,846	—	plan?
Dec 1, 2017 MForm 4 →	Dec 5, 4:35 pm EST	Raymond JacksonCFO	7,103	$5.38	$10,437	99,887	—	plan?
Nov 28, 2017 PForm 4 →	Nov 29, 5:07 pm EST	Thomas Rowe WrightDirector of Equities	12,500	$5.33	$66,584	363,636	+3.56%	plan?
Oct 2, 2017 MForm 4 →	Oct 10, 6:00 am EDT	Harry Mark LunenburgDirector	2,836	—	—	149,948	—	plan? late
Oct 2, 2017 MForm 4 →	Oct 10, 6:00 am EDT	David M DiPietroDirector	2,431	—	—	79,825	—	plan? late
Oct 2, 2017 MForm 4 →	Oct 10, 6:00 am EDT	Kenneth M KarminDirector	3,647	—	—	181,738	—	plan? late
Oct 2, 2017 MForm 4 →	Oct 10, 6:00 am EDT	Glenn H TongueDirector	3,242	—	—	158,894	—	plan? late
Oct 2, 2017 MForm 4 →	Oct 10, 6:00 am EDT	Jonathan M OrszagDirector	2,431	—	—	48,581	—	plan? late
Aug 3, 2017 PForm 4 →	Aug 3, 5:07 pm EDT	Glenn H TongueDirector	10,000	$5.41	$54,100	155,652	+6.87%	plan?
Jul 5, 2017 SForm 4 →	Jul 10, 6:00 am EDT	Raymond JacksonCFO	50,000	$7.50	$375,000	96,664	−34.1%	plan? late
Jul 5, 2017 MForm 4 →	Jul 10, 6:00 am EDT	Raymond JacksonCFO	50,000	$6.24	$312,000	146,664	—	plan? late
Jul 2, 2017 MForm 4 →	Jul 5, 6:00 pm EDT	Glenn H TongueDirector	3,241	—	—	145,652	—	plan?
Jul 2, 2017 MForm 4 →	Jul 5, 6:00 pm EDT	Harry Mark LunenburgDirector	2,836	—	—	147,112	—	plan?
Jul 2, 2017 MForm 4 →	Jul 5, 5:56 pm EDT	Kenneth M KarminDirector	3,647	—	—	178,091	—	plan?
Jul 2, 2017 MForm 4 →	Jul 5, 5:56 pm EDT	Jonathan M OrszagDirector	2,431	—	—	46,150	—	plan?
Jul 2, 2017 MForm 4 →	Jul 5, 5:49 pm EDT	David M DiPietroDirector	2,431	—	—	77,394	—	plan?
Apr 28, 2017 PForm 4 →	May 2, 4:21 pm EDT	Glenn H TongueDirector	20,864	$5.76	$120,075	34,886	+149%	plan?
Apr 1, 2017 MForm 4 →	Apr 5, 1:28 pm EDT	Glenn H TongueDirector	3,241	—	—	142,411	—	plan? late
Apr 1, 2017 MForm 4 →	Apr 5, 1:14 pm EDT	Kenneth M KarminDirector	3,646	—	—	174,444	—	plan? late
Apr 1, 2017 MForm 4 →	Apr 5, 1:14 pm EDT	David M DiPietroDirector	2,431	—	—	74,963	—	plan? late
Apr 1, 2017 MForm 4 →	Apr 5, 1:14 pm EDT	Harry Mark LunenburgDirector	2,836	—	—	144,276	—	plan? late
Apr 1, 2017 MForm 4 →	Apr 5, 1:14 pm EDT	Jonathan M OrszagDirector	2,431	—	—	43,719	—	plan? late
Jan 1, 2017 MForm 4 →	Jan 4, 12:42 pm EST	Jonathan M OrszagDirector	2,181	—	—	37,085	—	plan?
Jan 1, 2017 MForm 4 →	Jan 4, 12:42 pm EST	Glenn H TongueDirector	2,907	—	—	139,170	—	plan?
Jan 1, 2017 MForm 4 →	Jan 4, 12:42 pm EST	Harry Mark LunenburgDirector	2,544	—	—	141,440	—	plan?
Jan 1, 2017 MForm 4 →	Jan 4, 12:35 pm EST	Kenneth M KarminDirector	3,271	—	—	170,798	—	plan?
Jan 1, 2017 MForm 4 →	Jan 4, 12:35 pm EST	David M DiPietroDirector	2,181	—	—	72,532	—	plan?
Dec 1, 2016 FMForm 4 →	Dec 5, 6:42 pm EST	Joseph A JolsonCEO, Director, 10% Owner	61,828	$6.22	$113,975	138,497	—	plan?
Dec 1, 2016 FMForm 4 →	Dec 5, 6:42 pm EST	Raymond JacksonCFO	25,306	$6.22	$42,986	96,664	—	plan?
Dec 1, 2016 FMForm 4 →	Dec 5, 6:42 pm EST	Thomas Rowe WrightDirector of Equities	36,352	$6.22	$61,024	351,136	—	plan?
Dec 1, 2016 FMForm 4 →	Dec 5, 6:42 pm EST	Mark L LehmannPresident, JMP Securities, Director	14,077	$6.22	$23,916	16,412	—	plan?
Dec 1, 2016 FMForm 4 →	Dec 5, 6:42 pm EST	Carter D MackPresident, Director	16,422	$6.22	$27,897	303,921	—	plan?
Dec 1, 2016 FMForm 4 →	Dec 5, 6:42 pm EST	Craig R JohnsonDirector	52,873	$6.22	$98,730	330,698	—	plan?
Nov 9, 2016 PForm 4 →	Nov 14, 6:00 am EST	Joseph A JolsonCEO, Director, 10% Owner	94,220	$5.50	$518,210	4,508,406	+2.13%	plan? late
Nov 9, 2016 PForm 4 →	Nov 9, 4:42 pm EST	Kenneth M KarminDirector	17,700	$5.64	$99,913	167,527	+11.8%	plan?
Nov 7, 2016 GForm 5/A →	Feb 10, 2017, 5:28 pm EST	Joseph A JolsonCEO, Director, 10% Owner	181,820	—	—	1,287,584	—	plan?
Nov 7, 2016 GForm 5 →	Feb 1, 2017, 6:14 pm EST	Joseph A JolsonCEO, Director, 10% Owner	181,820	—	—	1,210,667	—	plan? amended
Nov 4, 2016 PForm 4 →	Nov 8, 4:56 pm EST	Joseph A JolsonCEO, Director, 10% Owner	1,700	$5.50	$9,350	4,414,186	+0.04%	plan?
Oct 28, 2016 PForm 4 →	Oct 31, 12:42 pm EDT	Thomas Rowe WrightDirector of Equities	7,500	$5.75	$43,155	334,406	+2.29%	plan?
Oct 17, 2016 PForm 4 →	Oct 19, 4:35 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	2,420	$5.50	$13,310	4,412,486	+0.05%	plan?
Oct 11, 2016 PForm 4 →	Oct 13, 4:42 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	4,762	$5.50	$26,181	4,410,066	+0.11%	plan?
Oct 6, 2016 PForm 4 →	Oct 11, 6:00 am EDT	Joseph A JolsonCEO, Director, 10% Owner	1,600	$5.50	$8,800	4,405,304	+0.04%	plan? late
Oct 3, 2016 PForm 4 →	Oct 5, 4:56 pm EDT	Joseph A JolsonCEO, Director, 10% Owner	397	$5.50	$2,184	4,403,704	+0.01%	plan?
Oct 1, 2016 MForm 4 →	Oct 4, 4:21 pm EDT	Jonathan M OrszagDirector	2,180	—	—	34,904	—	plan?
Oct 1, 2016 MForm 4 →	Oct 4, 4:21 pm EDT	Glenn H TongueDirector	2,907	—	—	136,263	—	plan?
Oct 1, 2016 MForm 4 →	Oct 4, 4:14 pm EDT	Kenneth M KarminDirector	3,270	—	—	149,827	—	plan?
Oct 1, 2016 MForm 4 →	Oct 4, 4:14 pm EDT	David M DiPietroDirector	2,180	—	—	70,351	—	plan?
Oct 1, 2016 MForm 4 →	Oct 4, 4:14 pm EDT	Harry Mark LunenburgDirector	2,544	—	—	138,896	—	plan?

Reported at this company — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Feb 6, 2019 AForm 4 →	Feb 7, 4:35 pm EST	Thomas Rowe WrightDirector of Equities	35,124	—	—	35,124	—
Feb 6, 2019 AForm 4 →	Feb 7, 4:35 pm EST	Craig R JohnsonDirector	7,720	—	—	16,078	—
Jan 1, 2019 MForm 4 →	Jan 2, 4:49 pm EST	Jonathan M OrszagDirector	2,809	—	—	0	—
Jan 1, 2019 MForm 4 →	Jan 2, 4:49 pm EST	Glenn H TongueDirector	3,746	—	—	0	—
Jan 1, 2019 MForm 4 →	Jan 2, 4:49 pm EST	Harry Mark LunenburgDirector	3,277	—	—	0	—
Jan 1, 2019 MForm 4 →	Jan 2, 4:49 pm EST	Kenneth M KarminDirector	4,214	—	—	0	—
Dec 1, 2018 MForm 4 →	Dec 4, 4:07 pm EST	Thomas Rowe WrightDirector of Equities	3,552	—	—	0	—
Dec 1, 2018 MForm 4 →	Dec 4, 4:07 pm EST	Craig R JohnsonDirector	13,866	—	—	8,358	—
Oct 2, 2018 MForm 4 →	Oct 9, 6:01 am EDT	David M DiPietroDirector	2,809	—	—	2,809	—	late
Oct 2, 2018 MForm 4 →	Oct 9, 6:01 am EDT	Kenneth M KarminDirector	4,213	—	—	4,214	—	late
Oct 2, 2018 MForm 4 →	Oct 9, 6:01 am EDT	Harry Mark LunenburgDirector	3,277	—	—	3,277	—	late
Oct 2, 2018 MForm 4 →	Oct 9, 6:00 am EDT	Glenn H TongueDirector	3,745	—	—	3,746	—	late
Oct 2, 2018 MForm 4 →	Oct 9, 6:00 am EDT	Jonathan M OrszagDirector	2,809	—	—	2,809	—	late
Jul 2, 2018 MForm 4 →	Jul 2, 4:35 pm EDT	David M DiPietroDirector	2,809	—	—	5,618	—
Jul 1, 2018 MForm 4 →	Jul 2, 4:35 pm EDT	Jonathan M OrszagDirector	2,809	—	—	5,618	—
Jul 1, 2018 MForm 4 →	Jul 2, 4:35 pm EDT	Glenn H TongueDirector	3,745	—	—	7,491	—
Jul 1, 2018 MForm 4 →	Jul 2, 4:35 pm EDT	Harry Mark LunenburgDirector	3,277	—	—	6,554	—
Jul 1, 2018 MForm 4 →	Jul 2, 4:35 pm EDT	Kenneth M KarminDirector	4,213	—	—	8,427	—
Apr 2, 2018 MForm 4 →	Apr 2, 5:35 pm EDT	Jonathan M OrszagDirector	2,808	—	—	8,427	—
Apr 2, 2018 MForm 4 →	Apr 2, 5:35 pm EDT	Glenn H TongueDirector	3,745	—	—	11,236	—
Apr 2, 2018 MForm 4 →	Apr 2, 5:28 pm EDT	David M DiPietroDirector	2,808	—	—	8,427	—
Apr 2, 2018 MForm 4 →	Apr 2, 5:28 pm EDT	Kenneth M KarminDirector	4,213	—	—	12,640	—
Apr 2, 2018 MForm 4 →	Apr 2, 5:28 pm EDT	Harry Mark LunenburgDirector	3,277	—	—	9,831	—
Mar 15, 2018 AForm 4 →	Mar 19, 4:28 pm EDT	Jonathan M OrszagDirector	11,235	—	—	11,235	—
Mar 15, 2018 AForm 4 →	Mar 19, 4:28 pm EDT	David M DiPietroDirector	11,235	—	—	11,235	—
Mar 15, 2018 AForm 4 →	Mar 19, 4:21 pm EDT	Glenn H TongueDirector	14,981	—	—	14,981	—
Mar 15, 2018 AForm 4 →	Mar 19, 4:21 pm EDT	Harry Mark LunenburgDirector	13,108	—	—	13,108	—
Mar 15, 2018 AForm 4 →	Mar 19, 4:21 pm EDT	Kenneth M KarminDirector	16,853	—	—	16,853	—
Feb 6, 2018 AForm 4 →	Feb 7, 5:56 pm EST	Craig R JohnsonDirector	16,716	—	—	22,224	—
Jan 1, 2018 MForm 4 →	Jan 2, 2019, 4:42 pm EST	David M DiPietroDirector	2,809	—	—	0	—	late
Jan 1, 2018 MForm 4 →	Jan 4, 1:49 pm EST	Jonathan M OrszagDirector	2,431	—	—	0	—	late
Jan 1, 2018 MForm 4 →	Jan 4, 1:49 pm EST	Harry Mark LunenburgDirector	2,837	—	—	0	—	late
Jan 1, 2018 MForm 4 →	Jan 4, 1:49 pm EST	Glenn H TongueDirector	3,242	—	—	0	—	late
Jan 1, 2018 MForm 4 →	Jan 4, 1:49 pm EST	Kenneth M KarminDirector	3,647	—	—	0	—	late
Jan 1, 2018 MForm 4 →	Jan 4, 1:35 pm EST	David M DiPietroDirector	2,431	—	—	0	—	late
Dec 1, 2017 MForm 4 →	Dec 5, 4:56 pm EST	Thomas Rowe WrightDirector of Equities	9,288	—	—	3,552	—
Dec 1, 2017 MForm 4 →	Dec 5, 4:49 pm EST	Joseph A JolsonCEO, Director, 10% Owner	24,745	—	—	2	—
Dec 1, 2017 MForm 4 →	Dec 5, 4:42 pm EST	Craig R JohnsonDirector	32,276	—	—	5,508	—
Dec 1, 2017 MForm 4 →	Dec 5, 4:35 pm EST	Raymond JacksonCFO	5,163	—	—	0	—
Oct 2, 2017 MForm 4 →	Oct 10, 6:00 am EDT	Harry Mark LunenburgDirector	2,836	—	—	2,837	—	late
Oct 2, 2017 MForm 4 →	Oct 10, 6:00 am EDT	David M DiPietroDirector	2,431	—	—	2,431	—	late
Oct 2, 2017 MForm 4 →	Oct 10, 6:00 am EDT	Kenneth M KarminDirector	3,647	—	—	3,647	—	late
Oct 2, 2017 MForm 4 →	Oct 10, 6:00 am EDT	Glenn H TongueDirector	3,242	—	—	3,242	—	late
Oct 2, 2017 MForm 4 →	Oct 10, 6:00 am EDT	Jonathan M OrszagDirector	2,431	—	—	2,431	—	late
Jul 5, 2017 MForm 4 →	Jul 10, 6:00 am EDT	Raymond JacksonCFO	50,000	—	—	40,000	—	late
Jul 2, 2017 MForm 4 →	Jul 5, 6:00 pm EDT	Glenn H TongueDirector	3,241	—	—	6,484	—
Jul 2, 2017 MForm 4 →	Jul 5, 6:00 pm EDT	Harry Mark LunenburgDirector	2,836	—	—	5,673	—
Jul 2, 2017 MForm 4 →	Jul 5, 5:56 pm EDT	Kenneth M KarminDirector	3,647	—	—	7,294	—
Jul 2, 2017 MForm 4 →	Jul 5, 5:56 pm EDT	Jonathan M OrszagDirector	2,431	—	—	4,862	—
Jul 2, 2017 MForm 4 →	Jul 5, 5:49 pm EDT	David M DiPietroDirector	2,431	—	—	4,862	—
Apr 1, 2017 MForm 4 →	Apr 5, 1:28 pm EDT	Glenn H TongueDirector	3,241	—	—	9,725	—	late
Apr 1, 2017 MForm 4 →	Apr 5, 1:14 pm EDT	Kenneth M KarminDirector	3,646	—	—	10,941	—	late
Apr 1, 2017 MForm 4 →	Apr 5, 1:14 pm EDT	David M DiPietroDirector	2,431	—	—	7,293	—	late
Apr 1, 2017 MForm 4 →	Apr 5, 1:14 pm EDT	Harry Mark LunenburgDirector	2,836	—	—	8,509	—	late
Apr 1, 2017 MForm 4 →	Apr 5, 1:14 pm EDT	Jonathan M OrszagDirector	2,431	—	—	7,293	—	late
Mar 16, 2017 AForm 4 →	Mar 20, 6:00 pm EDT	Kenneth M KarminDirector	14,587	—	—	14,587	—
Mar 16, 2017 AForm 4 →	Mar 20, 6:00 pm EDT	Glenn H TongueDirector	12,966	—	—	12,966	—
Mar 16, 2017 AForm 4 →	Mar 20, 5:56 pm EDT	Jonathan M OrszagDirector	9,724	—	—	9,724	—
Mar 16, 2017 AForm 4 →	Mar 20, 5:56 pm EDT	David M DiPietroDirector	9,724	—	—	9,724	—
Mar 16, 2017 AForm 4 →	Mar 20, 5:56 pm EDT	Harry Mark LunenburgDirector	11,345	—	—	11,345	—
Feb 7, 2017 AForm 4 →	Feb 14, 12:49 pm EST	Craig R JohnsonDirector	11,015	—	—	37,784	—	late
Feb 7, 2017 AForm 4 →	Feb 14, 12:49 pm EST	Thomas Rowe WrightDirector of Equities	7,104	—	—	12,840	—	late
Jan 1, 2017 MForm 4 →	Jan 4, 12:42 pm EST	Jonathan M OrszagDirector	2,181	—	—	0	—
Jan 1, 2017 MForm 4 →	Jan 4, 12:42 pm EST	Glenn H TongueDirector	2,907	—	—	0	—
Jan 1, 2017 MForm 4 →	Jan 4, 12:42 pm EST	Harry Mark LunenburgDirector	2,544	—	—	0	—
Jan 1, 2017 MForm 4 →	Jan 4, 12:35 pm EST	Kenneth M KarminDirector	3,271	—	—	0	—
Jan 1, 2017 MForm 4 →	Jan 4, 12:35 pm EST	David M DiPietroDirector	2,181	—	—	0	—
Dec 1, 2016 MForm 4 →	Dec 5, 6:42 pm EST	Joseph A JolsonCEO, Director, 10% Owner	43,504	—	—	24,747	—
Dec 1, 2016 MForm 4 →	Dec 5, 6:42 pm EST	Raymond JacksonCFO	18,395	—	—	5,163	—
Dec 1, 2016 MForm 4 →	Dec 5, 6:42 pm EST	Thomas Rowe WrightDirector of Equities	26,541	—	—	5,736	—
Dec 1, 2016 MForm 4 →	Dec 5, 6:42 pm EST	Mark L LehmannPresident, JMP Securities, Director	10,232	—	—	0	—
Dec 1, 2016 MForm 4 →	Dec 5, 6:42 pm EST	Carter D MackPresident, Director	11,937	—	—	0	—
Dec 1, 2016 MForm 4 →	Dec 5, 6:42 pm EST	Craig R JohnsonDirector	37,000	—	—	26,769	—
Oct 1, 2016 MForm 4 →	Oct 4, 4:21 pm EDT	Jonathan M OrszagDirector	2,180	—	—	2,181	—
Oct 1, 2016 MForm 4 →	Oct 4, 4:21 pm EDT	Glenn H TongueDirector	2,907	—	—	2,907	—
Oct 1, 2016 MForm 4 →	Oct 4, 4:14 pm EDT	Kenneth M KarminDirector	3,270	—	—	3,271	—
Oct 1, 2016 MForm 4 →	Oct 4, 4:14 pm EDT	David M DiPietroDirector	2,180	—	—	2,181	—
Oct 1, 2016 MForm 4 →	Oct 4, 4:14 pm EDT	Harry Mark LunenburgDirector	2,544	—	—	2,544	—
Jul 1, 2016 —Form 4 →	Jul 5, 2:21 pm EDT	Glenn H TongueDirector	2,907	—	—	5,814	—
Jul 1, 2016 MForm 4 →	Jul 5, 2:14 pm EDT	David M DiPietroDirector	2,180	—	—	4,361	—
Jul 1, 2016 MForm 4 →	Jul 5, 2:14 pm EDT	Kenneth M KarminDirector	3,270	—	—	6,541	—
Jul 1, 2016 MForm 4 →	Jul 5, 2:14 pm EDT	Jonathan M OrszagDirector	2,180	—	—	4,361	—
Jul 1, 2016 MForm 4 →	Jul 5, 2:14 pm EDT	Harry Mark LunenburgDirector	2,543	—	—	5,088	—
Apr 1, 2016 MForm 4 →	Apr 4, 4:14 pm EDT	Jonathan M OrszagDirector	2,180	—	—	6,541	—
Apr 1, 2016 MForm 4 →	Apr 4, 4:14 pm EDT	David M DiPietroDirector	2,180	—	—	6,541	—
Apr 1, 2016 MForm 4 →	Apr 4, 4:07 pm EDT	Glenn H TongueDirector	2,907	—	—	8,721	—
Apr 1, 2016 MForm 4 →	Apr 4, 4:07 pm EDT	Kenneth M KarminDirector	3,270	—	—	9,811	—
Apr 1, 2016 MForm 4 →	Apr 4, 4:07 pm EDT	Harry Mark LunenburgDirector	2,543	—	—	7,631	—
Mar 17, 2016 AForm 4 →	Mar 18, 12:28 pm EDT	Jonathan M OrszagDirector	8,721	—	—	8,721	—
Mar 17, 2016 AForm 4 →	Mar 18, 12:28 pm EDT	Kenneth M KarminDirector	13,081	—	—	13,081	—
Mar 17, 2016 AForm 4 →	Mar 18, 12:28 pm EDT	Harry Mark LunenburgDirector	10,174	—	—	10,174	—
Mar 17, 2016 AForm 4 →	Mar 18, 12:28 pm EDT	David M DiPietroDirector	8,721	—	—	8,721	—
Mar 17, 2016 AForm 4 →	Mar 18, 12:28 pm EDT	Glenn H TongueDirector	11,628	—	—	11,628	—
Feb 3, 2016 AForm 4 →	Feb 5, 4:49 pm EST	Kent LedbetterOther	11,472	—	—	123,996	—
Feb 3, 2016 AForm 4 →	Feb 5, 4:42 pm EST	Raymond JacksonCFO	10,325	—	—	23,558	—
Feb 3, 2016 AForm 4 →	Feb 5, 4:42 pm EST	Craig R JohnsonDirector	53,537	—	—	134,630	—
Feb 3, 2016 AForm 4 →	Feb 5, 4:42 pm EST	Joseph A JolsonCEO, Director, 10% Owner	49,490	—	—	68,251	—
Dec 31, 2015 MForm 4 →	Jan 5, 2016, 5:07 pm EST	Glenn H TongueDirector	2,727	—	—	0	—
Dec 31, 2015 MForm 4 →	Jan 5, 2016, 2:21 pm EST	Craig R JohnsonDirector	1,633	—	—	81,093	—
Dec 31, 2015 MForm 4 →	Jan 5, 2016, 2:14 pm EST	Raymond JacksonCFO	723	—	—	13,233	—

Filed by this entity as an insider elsewhere — common stock

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
May 9, 2018 PForm 4 →	May 10, 7:13 pm EDT	Harvest Capital Credit CorpHCAP	5,235	$10.13	$53,023	990,861	+0.53%	plan?
May 4, 2018 PForm 4 →	May 8, 6:16 pm EDT	Harvest Capital Credit CorpHCAP	12,143	$10.23	$124,239	985,626	+1.25%	plan?
May 1, 2018 PForm 4 →	May 3, 6:10 pm EDT	Harvest Capital Credit CorpHCAP	5,515	$10.21	$56,321	973,483	+0.57%	plan?
May 1, 2018 JForm 4 →	May 2, 5:18 pm EDT	Harvest Capital Credit CorpHCAP	5,658	$10.24	$57,938	967,968	—	plan?
Apr 26, 2018 PForm 4 →	Apr 30, 6:14 pm EDT	Harvest Capital Credit CorpHCAP	971	$10.31	$10,007	967,968	+0.10%	plan?
Apr 23, 2018 PForm 4 →	Apr 25, 6:40 pm EDT	Harvest Capital Credit CorpHCAP	6,901	$10.29	$71,015	966,997	+0.72%	plan?
Apr 19, 2018 PForm 4 →	Apr 23, 6:31 pm EDT	Harvest Capital Credit CorpHCAP	4,800	$10.30	$49,440	960,096	+0.50%	plan?
Apr 16, 2018 PForm 4 →	Apr 18, 5:35 pm EDT	Harvest Capital Credit CorpHCAP	7,200	$10.47	$75,365	955,296	+0.76%	plan?
Apr 11, 2018 PForm 4 →	Apr 13, 5:46 pm EDT	Harvest Capital Credit CorpHCAP	7,446	$10.45	$77,778	948,096	+0.79%	plan?
Apr 6, 2018 PForm 4 →	Apr 10, 5:47 pm EDT	Harvest Capital Credit CorpHCAP	7,019	$10.31	$72,349	940,650	+0.75%	plan?
Apr 3, 2018 PForm 4 →	Apr 5, 6:18 pm EDT	Harvest Capital Credit CorpHCAP	6,220	$10.25	$63,764	933,631	+0.67%	plan?
Mar 28, 2018 PForm 4 →	Apr 2, 6:19 pm EDT	Harvest Capital Credit CorpHCAP	5,627	$10.31	$58,023	927,411	+0.61%	plan?
Mar 23, 2018 PForm 4 →	Mar 27, 7:49 pm EDT	Harvest Capital Credit CorpHCAP	3,238	$10.54	$34,134	921,784	+0.35%	plan?
Mar 20, 2018 PForm 4 →	Mar 27, 7:49 pm EDT	Harvest Capital Credit CorpHCAP	3,680	$10.48	$38,562	918,546	+0.40%	plan? late
Mar 15, 2018 PForm 4 →	Mar 19, 6:16 pm EDT	Harvest Capital Credit CorpHCAP	4,603	$10.68	$49,153	914,866	+0.51%	plan?
Mar 12, 2018 PForm 4 →	Mar 14, 5:45 pm EDT	Harvest Capital Credit CorpHCAP	3,257	$10.88	$35,437	910,263	+0.36%	plan?
Mar 7, 2018 PForm 4/A →	Mar 19, 8:45 pm EDT	Harvest Capital Credit CorpHCAP	9,861	$10.88	$107,313	907,006	+1.10%	plan?
Mar 7, 2018 PForm 4 →	Mar 9, 5:41 pm EST	Harvest Capital Credit CorpHCAP	9,861	$10.85	$107,015	907,006	+1.10%	plan? amended
Mar 2, 2018 PForm 4 →	Mar 6, 5:37 pm EST	Harvest Capital Credit CorpHCAP	1,602	$10.87	$17,416	897,145	+0.18%	plan?
Feb 27, 2018 PForm 4 →	Mar 1, 6:08 pm EST	Harvest Capital Credit CorpHCAP	2,386	$10.92	$26,054	895,543	+0.27%	plan?
Feb 22, 2018 PForm 4 →	Feb 26, 5:44 pm EST	Harvest Capital Credit CorpHCAP	6,634	$10.72	$71,096	893,157	+0.75%	plan?
Feb 16, 2018 PForm 4 →	Feb 21, 5:31 pm EST	Harvest Capital Credit CorpHCAP	8,725	$10.81	$94,338	886,523	+0.99%	plan?
Feb 14, 2018 PForm 4 →	Feb 15, 4:55 pm EST	Harvest Capital Credit CorpHCAP	4,754	$10.83	$51,463	877,198	+0.54%	plan?
Feb 9, 2018 PForm 4 →	Feb 13, 7:21 pm EST	Harvest Capital Credit CorpHCAP	9,780	$10.58	$103,459	873,044	+1.13%	plan?
Dec 29, 2017 PForm 4 →	Jan 3, 2018, 5:39 pm EST	Harvest Capital Credit CorpHCAP	8,475	$10.99	$93,126	863,264	+0.99%	plan?
Dec 26, 2017 PForm 4 →	Dec 28, 5:27 pm EST	Harvest Capital Credit CorpHCAP	14,750	$10.92	$161,042	854,789	+1.76%	plan?
Dec 14, 2017 PForm 4 →	Dec 18, 6:07 pm EST	Harvest Capital Credit CorpHCAP	5,904	$10.94	$64,578	840,039	+0.71%	plan?
Dec 5, 2017 PForm 4 →	Dec 7, 5:58 pm EST	Harvest Capital Credit CorpHCAP	2,500	$11.00	$27,494	825,332	+0.30%	plan?
Dec 4, 2017 PForm 4/A →	Dec 18, 5:31 pm EST	Harvest Capital Credit CorpHCAP	11,303	$10.94	$123,672	834,135	+1.37%	plan?
Nov 29, 2017 PForm 4 →	Dec 1, 5:52 pm EST	Harvest Capital Credit CorpHCAP	60,446	$10.75	$649,511	822,832	+7.93%	plan?
Nov 9, 2016 PForm 4 →	Nov 14, 6:02 am EST	Harvest Capital Credit CorpHCAP	1,570	$12.05	$18,919	762,386	+0.21%	plan? late
Nov 4, 2016 PForm 4 →	Nov 8, 5:22 pm EST	Harvest Capital Credit CorpHCAP	26,785	$12.03	$322,238	760,816	+3.65%	plan?
Nov 1, 2016 PForm 4 →	Nov 3, 5:38 pm EDT	Harvest Capital Credit CorpHCAP	9,226	$12.05	$111,171	734,031	+1.27%	plan?
Oct 27, 2016 PForm 4 →	Oct 31, 5:54 pm EDT	Harvest Capital Credit CorpHCAP	1,905	$12.05	$22,955	724,805	+0.26%	plan?
Oct 24, 2016 PForm 4 →	Oct 26, 5:05 pm EDT	Harvest Capital Credit CorpHCAP	4,117	$12.05	$49,610	722,900	+0.57%	plan?
Oct 17, 2016 PForm 4 →	Oct 19, 6:22 pm EDT	Harvest Capital Credit CorpHCAP	6,051	$12.05	$72,915	718,783	+0.85%	plan?
Aug 24, 2015 PForm 4 →	Aug 24, 8:13 pm EDT	Harvest Capital Credit CorpHCAP	3,165	$12.14	$38,411	712,732	+0.45%	plan?
Aug 19, 2015 PForm 4 →	Aug 21, 7:25 pm EDT	Harvest Capital Credit CorpHCAP	8,218	$12.03	$98,860	709,567	+1.17%	plan?
Aug 12, 2015 PForm 4 →	Aug 14, 6:56 pm EDT	Harvest Capital Credit CorpHCAP	8,617	$12.07	$104,017	701,349	+1.24%	plan?
May 14, 2015 PForm 4 →	May 18, 7:39 pm EDT	Harvest Capital Credit CorpHCAP	2,500	$13.38	$33,450	692,732	+0.36%	plan?
May 11, 2015 PForm 4 →	May 13, 5:21 pm EDT	Harvest Capital Credit CorpHCAP	2,800	$12.23	$34,244	690,232	+0.41%	plan?
Mar 12, 2015 JForm 4 →	Mar 16, 8:06 pm EDT	Harvest Capital Credit CorpHCAP	7,930	$12.60	$99,918	681,774	—	plan?

Filed by this entity as an insider elsewhere — derivatives (options, RSUs, warrants)

No reported derivative activity in this period.