Filing Details
- Accession Number:
- 0001246360-16-006850
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-09-30 16:21:11
- Reporting Period:
- 2016-09-28
- Filing Date:
- 2016-09-30
- Accepted Time:
- 2016-09-30 16:21:11
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1302350 | Jmp Group Llc | JMP | Security Brokers, Dealers & Flotation Companies (6211) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1398113 | A Joseph Jolson | 600 Montgomery Street, Suite 1100 San Francisco CA 94111 | Ceo | No | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Shares | Acquisiton | 2016-09-28 | 300 | $5.50 | 4,392,650 | No | 4 | P | Indirect | By Jolson 1991 Trust |
Common Shares | Acquisiton | 2016-09-29 | 5,757 | $5.49 | 4,398,407 | No | 4 | P | Indirect | By Jolson 1991 Trust |
Common Shares | Acquisiton | 2016-09-30 | 4,900 | $5.50 | 4,403,307 | No | 4 | P | Indirect | By Jolson 1991 Trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By Jolson 1991 Trust |
No | 4 | P | Indirect | By Jolson 1991 Trust |
No | 4 | P | Indirect | By Jolson 1991 Trust |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Shares | 75,000 | Indirect | By Foundation |
Common Shares | 113,317 | Direct | |
Common Shares | 1,392,487 | Indirect | By Jolson 1996 Trust |
Footnotes
- Reflects common shares held by The Jolson Family Foundation, of which Mr. Jolson is President and Treasurer. Mr. Jolson disclaims beneficial ownership of the shares.
- Reflects common shares held by the Joseph A. Jolson 1996 Trust dtd 3/7/96, of which Mr. Jolson is a trustee.
- Reflects the acquisition of common shares pursuant to the Rule 10b5-1 Purchase Plan of the Reporting Person.
- Reflects common shares held by the Joseph A. Jolson 1991 Trust , of which Mr. Jolson is a trustee.
- The range of prices for the common shares is from 5.46 to 5.50. 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.
- The range of prices for the common shares is from 5.47 to 5.50. 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.