Amended Statement of Changes in Beneficial Ownership (4/a)
2021年11月19日 - 8:05AM
Edgar (US Regulatory)
FORM 4
[X]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
WEDBUSH SECURITIES INC |
2. Issuer Name and Ticker or Trading Symbol
JMP GROUP LLC
[
JMP
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) __X__ Other (specify below) Possible Member of 10% Group |
(Last)
(First)
(Middle)
1000 WILSHIRE BLVD., SUITE 900, ATTN: COMPLIANCE DEPT. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/17/2021 |
(Street)
LOS ANGELES, CA 90017
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
11/18/2021 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Shares representing limited liability company interests in J | 11/17/2021 | | D | | 2250000 (1) | A | $7.5 (1) | 0 | D | |
Shares representing limited liability company interests in J | 11/17/2021 | | D | | 2250000 (1) | A | $7.5 (1) | 0 | I (2) | Wedbush Capital may be deemed to have beneficial ownership of such shares as the sole equityhold |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 8, 2021 (as amended from time to time, the "Merger Agreement"), among JMP Group LLC (the "Company"), Citizens Financial Group, Inc. ("Citizens") and Jolt Acquisition LLC, in exchange for $7.50 per share in cash, without interest. |
(2) | This Form 4 is being filed by the undersigned. Wedbush Securities Inc. directly held the securities of the Issuer subject to the Merger Agreement. Wedbush Capital may be deemed to have had beneficial ownership of such shares as the sole equityholder of Wedbush Securities Inc. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WEDBUSH SECURITIES INC 1000 WILSHIRE BLVD., SUITE 900 ATTN: COMPLIANCE DEPT. LOS ANGELES, CA 90017 |
| X |
| Possible Member of 10% Group |
Wedbush Capital, Inc. 1000 WILSHIRE BLVD LOS ANGELES, CA 90017 |
| X |
| Possible Member of 10% Group |
Signatures
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/s/Gary Wedbush, President, Wedbush Securities | | 11/18/2021 |
**Signature of Reporting Person | Date |
/s/ Dan Simon, Director of Finance, Wedbush Capital | | 11/18/2021 |
**Signature of Reporting Person | Date |
JMP (NYSE:JMP)
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