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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JMP GROUP LLC 600 MONTGOMERY STREET, SUITE 1100 SAN FRANCISCO, CA 94111 |
X | |||
JMP Group Inc. 600 MONTGOMERY STREET, SUITE 1100 SAN FRANCISCO, CA 94111 |
X | |||
JMP SECURITIES LLC 600 MONTGOMERY STREET, SUITE 1100 SAN FRANCISCO, CA 94111 |
X | |||
JMP Holding LLC 600 MONTGOMERY STREET, SUITE 1100 SAN FRANCISCO, CA 94111 |
X | |||
JMP Investment Holdings LLC 600 MONTGOMERY STREET, SUITE 1100 SAN FRANCISCO, CA 94111 |
X |
/s/ Walter Conroy, Authorized Person of JMP Group LLC | 11/11/2016 | |
**Signature of Reporting Person | Date | |
/s/ Walter Conroy, Authorized Person of JMP Group Inc. | 11/11/2016 | |
**Signature of Reporting Person | Date | |
/s/ Walter Conroy, Authorized Person of JMP Holding LLC | 11/11/2016 | |
**Signature of Reporting Person | Date | |
/s/ Walter Conroy, Authorized Person of JMP Investment Holdings LLC | 11/11/2016 | |
**Signature of Reporting Person | Date | |
/s/ Walter Conroy, Authorized Person of JMP Securities LLC | 11/11/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Reflects the acquisition of common stock pursuant to a Rule 10b5-1 Purchase Plan of JMP Investment Holdings LLC. |
(2) | 756,728 of these securities are owned by JMP Investment Holdings LLC, which is a wholly owned subsidiary of JMP Group LLC. JMP Group LLC is the indirect beneficial owner of the reported securities. 5,658 of these securities are owned by JMP Securities LLC pursuant to the Issuer's Dividend Reinvestment Plan. JMP Securities LLC is a wholly owned subsidiary of JMP Holding LLC, which is a wholly owned subsidiary of JMP Group Inc., which is a wholly owned subsidiary of JMP Group LLC. JMP Group LLC is the indirect beneficial owner of the reported securities. |