JMP Documents déposés auprès de la SEC - JMP Group LLC- Rapport annuel, procuration, prospectus

Statistiques de base

LEI	549300RVM9B0BWD4MH68
CIK	1302350

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to JMP Group LLC

SEC Filings (Chronological Order)

Cette page fournit une liste complète et chronologique des documents déposés auprès de la SEC, à l'exclusion des documents relatifs à la participation que nous fournissons ailleurs.

December 14, 2021	15-12B	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-3682 JMP Group LLC (Exact name of registrant as specified in its charter
November 16, 2021	EX-99.25	EX-99.25 NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 29, 2021, pursuant to the provisions of Rule 12d2-2 (a).
November 15, 2021	S-8 POS	As filed with the Securities and Exchange Commission on November 15, 2021. As filed with the Securities and Exchange Commission on November 15, 2021. Registration No. 333-142956 Registration No. 333-201725 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 2 to Form S-8, Registration Statement No. 333-142956 Post-Effective Amendment No. 1 to Form S-8, Registration Statement No. 333-201725 UNDER THE SECURITIES ACT OF 1933
November 15, 2021	S-8 POS	As filed with the Securities and Exchange Commission on November 15, 2021. As filed with the Securities and Exchange Commission on November 15, 2021. Registration No. 333-142956 Registration No. 333-201725 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 2 to Form S-8, Registration Statement No. 333-142956 Post-Effective Amendment No. 1 to Form S-8, Registration Statement No. 333-201725 UNDER THE SECURITIES ACT OF 1933
November 15, 2021	8-K	Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2021 JMP Group LLC (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-36802 (Commission File Number) 47-16
November 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP G
November 12, 2021	EX-99.1	JMP GROUP ANNOUNCES FULL REDEMPTION OF 6.875% SENIOR NOTES DUE 2029 AND SATISFACTION AND DISCHARGE OF INDENTURE Exhibit 99.1 JMP GROUP ANNOUNCES FULL REDEMPTION OF 6.875% SENIOR NOTES DUE 2029 AND SATISFACTION AND DISCHARGE OF INDENTURE SAN FRANCISCO, November 12, 2021 ? JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that it has given notice of its intention to redeem all of the currently outstanding $36.0 million principal amount of its 6.875% Senior
November 12, 2021	8-K	Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2021 JMP Group LLC (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-36802 (Commission File Number) 47-16
November 12, 2021	EX-99.1	JMP GROUP ANNOUNCES SHAREHOLDER APPROVAL OF MERGER Exhibit 99.1 JMP GROUP ANNOUNCES SHAREHOLDER APPROVAL OF MERGER SAN FRANCISCO, November 12, 2021 ? JMP Group LLC (?JMP Group?) (NYSE: JMP), an investment banking and alternative asset management firm, announced today that the company?s shareholders have approved at the special meeting of its shareholders (the ?Special Meeting?) held today all proposals related to JMP Group?s previously announced A
November 12, 2021	8-K	Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2021 JMP Group LLC (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-36802 (Commission File Number) 47-16
November 9, 2021	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2021 JMP Group LLC (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-36802 (Commission File Number) 47-163
November 9, 2021	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin
October 26, 2021	EX-10.1	Purchase and Sale Agreement, dated as of October 22, 2021 by and among JMP Group Inc., JMP Capital LLC, Logan Ridge Finance Corporation, Portman Ridge Finance Corporation, Medalist Partners Harvest Master Fund, Ltd., and Alternative Credit Income Fund. Exhibit 10.1 Execution Version PURCHASE AND SALE AGREEMENT BY AND AMONG LOGAN RIDGE FINANCE CORPORATION, JMP CAPITAL LLC, JMP GROUP INC., PORTMAN RIDGE FINANCE CORPORATION, MEDALIST PARTNERS HARVEST MASTER FUND, LTD. AND ALTERNATIVE CREDIT INCOME FUND DATED AS OF OCTOBER 22, 2021 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS; MATTERS OF CONSTRUCTION 1 1.1 Definitions 5 1.2 Matters of Construction 5
October 26, 2021	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 22, 2021 JMP Group LLC (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-36802 (Commission File Number) 47-163
October 15, 2021	DEFM14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State
October 5, 2021	PREM14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State
September 15, 2021	SC 13D/A	JMP / JMP Group LLC / Jolson Joseph A - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 16) JMP Group LLC (Name of Issuer) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Securities) 46629U107 (CUSIP Number) Walter Conroy Chief Legal Officer JMP Group LLC 600 Montgomery Street, Suite 1100 San Francisc
September 10, 2021	EX-2.1	Agreement and Plan of Merger by and among Citizens Financial Group, Inc., Jolt Acquisition LLC and the Registrant, dated as of September 8, 2021. Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among CITIZENS FINANCIAL GROUP, INC, JOLT ACQUISITION LLC and JMP GROUP LLC Dated as of September 8, 2021 TABLE OF CONTENTS Page ARTICLE I The Merger; Closing; Effective Time 1.1. The Merger 2 1.2. Closing 2 1.3. Effective Time 3 ARTICLE II Certificate of Formation and LLC Agreement of the Surviving Company 2.1. Certificate of Formation 3 2.2. LLC Ag
September 10, 2021	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2021 JMP Group LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2021 JMP Group LLC (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-36802 (Commission File Number) 47-16
September 10, 2021	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2021 JMP Group LLC (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-36802 (Commission File Number) 47-16
September 10, 2021	EX-2.1	Agreement and Plan of Merger by and among Citizens Financial Group, Inc., Jolt Acquisition LLC and the Registrant, dated as of September 8, 2021. Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among CITIZENS FINANCIAL GROUP, INC, JOLT ACQUISITION LLC and JMP GROUP LLC Dated as of September 8, 2021 TABLE OF CONTENTS Page ARTICLE I The Merger; Closing; Effective Time 1.1. The Merger 2 1.2. Closing 2 1.3. Effective Time 3 ARTICLE II Certificate of Formation and LLC Agreement of the Surviving Company 2.1. Certificate of Formation 3 2.2. LLC Ag
September 9, 2021	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin
September 8, 2021	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin
August 11, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP Group
August 11, 2021	EX-10.1	Amendment Number Twelve to Revolving Note and Cash Subordination Agreement & Revolving Note, dated June 29, 2021, by and between JMP Securities LLC and City National Bank, a national banking association. Exhibit 10.1 AMENDMENT NUMBER TWELVE TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE This AMENDMENT NUMBER TWELVE TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE (this ?Amendment?), effective as of June 29, 2021, is entered into by and between JMP SECURITIES LLC, a Delaware limited liability company (?Broker/Dealer?), and CITY NATIONAL BANK, a national banki
August 11, 2021	EX-10.2	Amendment Number Nine and Waiver to Second Amended and Restated Credit Agreement, dated as of August 4, 2021, by and between JMP Holding LLC, as Borrower, the lenders party thereto and City National Bank, a national banking association, as the administrative agent for the lenders. Exhibit 10.2 AMENDMENT NUMBER NINE AND WAIVER TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT This AMENDMENT NUMBER NINE AND WAIVER TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this ?Amendment?), dated as of August 4, 2021, is entered into by and between JMP HOLDING LLC, formerly known as JMP Group LLC, a Delaware limited liability company (?Borrower?), the lenders from time to time party to t
August 11, 2021	8-K	Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2021 JMP Group LLC (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-36802 (Commission File Number) 47-1632
August 11, 2021	EX-99.1	JMP GROUP ANNOUNCES FULL REDEMPTION OF 7.25% SENIOR NOTES DUE 2027 AND SATISFACTION AND DISCHARGE OF INDENTURE Exhibit 99.1 JMP GROUP ANNOUNCES FULL REDEMPTION OF 7.25% SENIOR NOTES DUE 2027 AND SATISFACTION AND DISCHARGE OF INDENTURE SAN FRANCISCO, Aug. 11, 2021 ? JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its wholly owned subsidiary, JMP Group Inc., has given notice of its intention to redeem all of the currently outstanding $15.0 million
August 2, 2021	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 30, 2021 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I
July 29, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2021 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I
July 29, 2021	EX-99.1	JMP Group Reports Second Quarter 2021 Financial Results Exhibit 99.1 JMP Group Reports Second Quarter 2021 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-July 29, 2021-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter ended June 30, 2021. A summary of JMP Group?s operating results for the quarter and six months ended June 30, 2021, and for comparable prior periods,
June 21, 2021	EX-99.1	JMP GROUP ANNOUNCES PARTIAL REDEMPTION OF 7.25% SENIOR NOTES DUE 2027 Exhibit 99.1 JMP GROUP ANNOUNCES PARTIAL REDEMPTION OF 7.25% SENIOR NOTES DUE 2027 SAN FRANCISCO, June 16, 2021 ? JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its wholly owned subsidiary, JMP Group Inc., intends to give notice on Friday, June 18, 2021, to holders of its 7.25% Senior Notes due 2027 (CUSIP No. 466273 109; NASDAQ: JMPNL)
June 21, 2021	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2021 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I
June 10, 2021	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 10, 2021 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I
May 26, 2021	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2021 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR
May 26, 2021	EX-99.1	JMP GROUP ANNOUNCES PARTIAL REDEMPTION OF 7.25% SENIOR NOTES DUE 2027 Exhibit 99.1 JMP GROUP ANNOUNCES PARTIAL REDEMPTION OF 7.25% SENIOR NOTES DUE 2027 SAN FRANCISCO, May 26, 2021 ? JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its wholly owned subsidiary, JMP Group Inc., has given notice of its intention to redeem $10.0 million principal amount (400,000 Units) of its 7.25% Senior Notes due 2027 (CUSIP
May 11, 2021	10-Q	Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP Group
April 29, 2021	EX-99.1	JMP Group Reports First Quarter 2021 Financial Results Exhibit 99.1 JMP Group Reports First Quarter 2021 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-April 29, 2021-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter ended March 31, 2021. A summary of JMP Group?s operating results for the quarter ended March 31, 2021, and for comparable prior periods, is set forth
April 29, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2021 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (
April 28, 2021	DEF 14A	- FORM DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State
April 23, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 22, 2021 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (
March 29, 2021	10-K	Annual Report - FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36
March 29, 2021	EX-21	List of subsidiaries of JMP Group LLC. Exhibit 21 Subsidiaries of JMP Group LLC Name Jurisdiction of Incorporation or Organization JMP Group Inc.
March 26, 2021	EX-99.1	JMP GROUP APPOINTS MARK LEHMANN PRESIDENT Exhibit 99.1 JMP GROUP APPOINTS MARK LEHMANN PRESIDENT SAN FRANCISCO, Mar. 26, 2021 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, today announced that Mark Lehmann, chief executive officer of JMP Securities, the company’s primary operating subsidiary, has additionally been named president of JMP Group. Mr. Lehmann continues to serve as a member of the co
March 26, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 25, 2021 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (
February 18, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 18, 2021 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number
February 18, 2021	EX-99.1	JMP Group Reports Fourth Quarter and Fiscal Year 2020 Financial Results Exhibit 99.1 JMP Group Reports Fourth Quarter and Fiscal Year 2020 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-February 18, 2021-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter and full fiscal year ended December 31, 2020. A summary of JMP Group’s operating results for the quarter and year ended December 3
January 4, 2021	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 4, 2021 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number)
January 4, 2021	EX-99.1	JMP GROUP ANNOUNCES PARTIAL REDEMPTION OF 7.25% SENIOR NOTES DUE 2027 Exhibit 99.1 JMP GROUP ANNOUNCES PARTIAL REDEMPTION OF 7.25% SENIOR NOTES DUE 2027 SAN FRANCISCO, Jan. 4, 2021 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its wholly owned subsidiary, JMP Group Inc., has given notice of its intention to redeem $10.0 million principal amount (400,000 Units) of its 7.25% Senior Notes due 2027 (CUSIP
January 4, 2021	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2020 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number
January 4, 2021	EX-10.38	Amendment Number Eight to Second Amended and Restated Credit Agreement dated as of December 31, 2020, by and between JMP Holding LLC, as Borrower, the lenders party thereto and City National Bank, a national banking association, as the administrative agent for the lenders. Exhibit 10.38 AMENDMENT NUMBER EIGHT TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT This AMENDMENT NUMBER EIGHT TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of December 31, 2020, is entered into by and between JMP HOLDING LLC, formerly known as JMP Group LLC, a Delaware limited liability company (“Borrower”), the lenders from time to time party to the below-defined
December 31, 2020	SC 13D/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 7) HARVEST CAPITAL CREDIT CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) (CUSIP Nu UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 7) HARVEST CAPITAL CREDIT CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 41753F109 (CUSIP Number) Walter Conroy Chief Legal Officer JMP Group LLC 600 Montgomery Street, Suite 1100 San Francisco, California 94111 Telephone No. (415)
November 10, 2020	EX-10.36	Form of Director and Officer Indemnification Agreement Exhibit 10.36 JMP GROUP LLC INDEMNIFICATION AGREEMENT This Indemnification Agreement (“Agreement”) is made and entered into as of by and between JMP Group LLC, a Delaware limited liability company (the “Company”), and (“Indemnitee”). Recitals Whereas, the Company and the Indemnitee recognize the significant risk of personal liability for directors and officers that arises from corporate litigation
November 10, 2020	EX-10.37	Transition and Release Agreement dated August 12, 2020 between JMP Group LLC, JMP Securities LLC and Carter D. Mack Exhibit 10.37 TRANSITION & RELEASE AGREEMENT This is an agreement between you, Carter D. Mack (hereinafter ?you? or ?your?) and JMP Group LLC, a Delaware limited liability company, and JMP Securities LLC, a Delaware limited liability company, on behalf of themselves, their present and former parent companies, subsidiaries and affiliated entities, and their respective predecessors, successors, assi
November 10, 2020	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP G
November 6, 2020	EX-99.1	JMP GROUP ANNOUNCES ADDITION TO BOARD OF DIRECTORS Exhibit 99.1 JMP GROUP ANNOUNCES ADDITION TO BOARD OF DIRECTORS SAN FRANCISCO, Nov. 6, 2020 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that Staci Slaughter has been appointed to the company’s board of directors, effective November 5, 2020, and will serve as a member of the board’s corporate governance and nominating committee. Followin
November 6, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2020 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number)
October 28, 2020	EX-99.1	JMP Group Reports Third Quarter 2020 Financial Results Exhibit 99.1 JMP Group Reports Third Quarter 2020 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-October 28, 2020-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter ended September 30, 2020. A summary of JMP Group’s operating results for the quarter and nine months ended September 30, 2020, and for comparable pr
October 28, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - JMP GROUP LLC 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2020 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number)
August 14, 2020	8-K/A	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 24, 2020 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number)
August 11, 2020	10-Q	Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP Group
August 11, 2020	EX-10.34	Amendment Number Eleven to Revolving Note and Cash Subordination Agreement & Revolving Note, dated June 29, 2020, by and between JMP Securities LLC and City National Bank, a national banking association Exhibit 10.34 AMENDMENT NUMBER ELEVEN TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE This AMENDMENT NUMBER ELEVEN TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE (this “Amendment”), effective as of June 29, 2020, is entered into by and between JMP SECURITIES LLC, a Delaware limited liability company (“Broker/Dealer”), and CITY NATIONAL BANK, a national bank
August 11, 2020	EX-10.35	Amendment Number Seven to Second Amended and Restated Credit Agreement dated July 16, 2020, by and between JMP Holding LLC, as Borrower, the lenders party thereto and City National Bank, a national banking association, as the administrative agent for the lenders. Exhibit 10.35 AMENDMENT NUMBER SEVEN TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT This AMENDMENT NUMBER SEVEN TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of July 16, 2020, is entered into by and between JMP HOLDING LLC, formerly known as JMP Group LLC, a Delaware limited liability company (“Borrower”), the lenders from time to time party to the below-defined Cre
July 30, 2020	EX-99.1	JMP GROUP ANNOUNCES MANAGEMENT CHANGES Exhibit 99.1 JMP GROUP ANNOUNCES MANAGEMENT CHANGES SAN FRANCISCO, July 30, 2020 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, today announced management changes, including the resignation of Carter Mack from his position as president of the company and the promotion of Mark Lehmann to the role of chief executive officer of JMP Securities, the company’s
July 30, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 24, 2020 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I
July 29, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2020 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I
July 29, 2020	EX-99.1	JMP Group Reports Second Quarter 2020 Financial Results Exhibit 99.1 JMP Group Reports Second Quarter 2020 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-July 29, 2020-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter ended June 30, 2020. A summary of JMP Group’s operating results for the quarter and six months ended June 30, 2020, and for comparable prior periods,
June 18, 2020	SC 13D/A	JMPB / JMP Group LLC / Jolson Joseph A - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 15) JMP Group LLC (Name of Issuer) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Securities) 46629U107 (CUSIP Number) Walter Conroy Chief Legal Officer JMP Group LLC 600 Montgomery Street, Suite 1100 San Francisc
June 1, 2020	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 1, 2020 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
May 8, 2020	10-Q	Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP Group
May 8, 2020	EX-21	List of subsidiaries of JMP Group LLC Exhibit 21 Subsidiaries of JMP Group LLC Name Jurisdiction of Incorporation or Organization JMP Group Inc.
April 29, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2020 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (
April 29, 2020	EX-99.1	JMP Group Reports First Quarter 2020 Financial Results Exhibit 99.1 JMP Group Reports First Quarter 2020 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-April 29, 2020-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter ended March 31, 2020. A summary of JMP Group’s operating results for the quarter ended March 31, 2020, and for comparable prior periods, is set forth
April 27, 2020	DEF 14A	- FORM DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State
April 1, 2020	8-K	Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2020 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (
April 1, 2020	EX-16.1	Letter of PricewaterhouseCoopers LLP dated April 1, 2020 Exhibit 16.1 April 1, 2020 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by JMP Group LLC (copy attached), which we understand will be filed with the Securities and Exchange Commission, pursuant to Item 4.01 of Form 8-K, as part of the Form 8-K of JMP Group LLC dated March 30, 2020. We agree with the statements concerning
March 30, 2020	10-K	JMP / JMP Group LLC 10-K - Annual Report - FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36
March 30, 2020	EX-4.13	Description of JMP Group LLC's securities registered pursuant to Section 12(b) of the Securities Exchange Act of 1934. Exhibit 4.13 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2019 JMP Group LLC (“JMP Group LLC,” “we,” “us” or the “Company”) had the following classes of securities registered under Section 12(b) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (i) common shares representing limited lia
March 30, 2020	EX-21	List of subsidiaries of JMP Group LLC. Exhibit 21 Subsidiaries of JMP Group LLC Name Jurisdiction of Incorporation or Organization JMP Group Inc.
March 19, 2020	EX-99.A5D	Press Release issued on March 19, 2020. Exhibit 99.(a)(5)(D) JMP GROUP ANNOUNCES THE TERMINATION OF SELF-TENDER OFFER SAN FRANCISCO, Mar. 19, 2020 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm (the “Company”), today announced that it has terminated its previously announced self-tender offer to purchase up to 1,000,000 shares representing limited liability company interests in JMP Group LLC (the
March 19, 2020	SC TO-I/A	JMP / JMP Group LLC SC TO-I/A - - SCHEDULE TO-I/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT under Section 14(d)(1) or Section 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 2) JMP GROUP LLC (Name Of Subject Company (Issuer)) JMP GROUP LLC (Name of Filing Persons (Offeror)) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Sec
March 13, 2020	EX-99.A5C	Press Release issued on March 13, 2020. Exhibit 99.(a)(5)(C) JMP GROUP ANNOUNCES AMENDMENT AND EXTENSION OF SELF-TENDER OFFER SAN FRANCISCO, Mar. 13, 2020 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, today announced that it has amended its previously announced self-tender offer to purchase up to 3,000,000 shares representing limited liability company interests in JMP Group (the “Shares”) at a
March 13, 2020	SC TO-I/A	JMP / JMP Group LLC SC TO-I/A - - SCHEDULE TO-I/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT under Section 14(d)(1) or Section 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 1) JMP GROUP LLC (Name Of Subject Company (Issuer)) JMP GROUP LLC (Name of Filing Persons (Offeror)) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Sec
February 24, 2020	EX-99.A1D	Form of Letter to Brokers, Dealers, Banks, Trust Companies and Other Nominees. Exhibit (a)(1)(D) JMP GROUP LLC OFFER TO PURCHASE FOR CASH UP TO A MAXIMUM OF 3,000,000 SHARES REPRESENTING LIMITED LIABILITY COMPANY INTERESTS AT A PURCHASE PRICE OF $3.
February 24, 2020	SC TO-I	JMP / JMP Group LLC SC TO-I - - SCHEDULE TO-I UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT under Section 14(d)(1) or Section 13(e)(1) of the Securities Exchange Act of 1934 JMP GROUP LLC (Name Of Subject Company (Issuer)) JMP GROUP LLC (Name of Filing Persons (Offeror)) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Securities) 46629U107
February 24, 2020	EX-99.A1E	Form of Letter to Clients for Use by Brokers, Dealers, Banks, Trust Companies and Other Nominees. Exhibit (a)(1)(E) JMP GROUP LLC OFFER TO PURCHASE FOR CASH UP TO A MAXIMUM OF 3,000,000 SHARES REPRESENTING LIMITED LIABILITY COMPANY INTERESTS AT A PURCHASE PRICE OF $3.
February 24, 2020	EX-99.A1B	Form of Letter of Transmittal. Exhibit (a)(1)(B) Letter of Transmittal to Tender Shares Representing Limited Liability Company Interests in JMP Group LLC at a Purchase Price of $3.
February 24, 2020	EX-99.A5B	Form of Summary Advertisement. Exhibit (a)(5)(B) This announcement is neither an offer to purchase nor a solicitation of an offer to sell shares of JMP Group LLC.
February 24, 2020	EX-99.A1A	Offer to Purchase dated February 24, 2020. Exhibit (a)(1)(A) JMP GROUP LLC OFFER TO PURCHASE FOR CASH UP TO A MAXIMUM OF 3,000,000 SHARES REPRESENTING LIMITED LIABILITY COMPANY INTERESTS AT A PURCHASE PRICE OF $3.
February 24, 2020	EX-99.A1C	Form of Notice of Guaranteed Delivery (including Guidelines of the Internal Revenue Service for Certification of Taxpayer Identification Number on substitute Form W-9). Exhibit (a)(1)(C) JMP GROUP LLC NOTICE OF GUARANTEED DELIVERY FOR TENDER OF SHARES Cusip # 46629U107 This notice of guaranteed delivery, or one substantially in the form hereof, must be used to accept the Offer by JMP Group LLC if: ● certificates evidencing shares of JMP Group LLC representing limited liability company interests that are not immediately available or cannot be delivered to the depo
February 19, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 19, 2020 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number
February 19, 2020	EX-99.2	JMP Group Announces Self-Tender Offer Exhibit 99.2 JMP Group Announces Self-Tender Offer SAN FRANCISCO-(BUSINESS WIRE)-February 19, 2020-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, today announced its plan to launch a tender offer to purchase up to 3,000,000 shares representing limited liability company interests in JMP Group (the “Shares”) at a purchase price per Share of $3.25. On February
February 19, 2020	EX-99.2	Press release of the Company announcing tender offer, dated February 19, 2020. Exhibit 99.2 JMP Group Announces Self-Tender Offer SAN FRANCISCO-(BUSINESS WIRE)-February 19, 2020-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, today announced its plan to launch a tender offer to purchase up to 3,000,000 shares representing limited liability company interests in JMP Group (the “Shares”) at a purchase price per Share of $3.25. On February
February 19, 2020	SC TO-C	JMP / JMP Group LLC SC TO-C - - JMP GROUP LLC 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 19, 2020 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number
February 19, 2020	EX-99.1	JMP Group Reports Fourth Quarter and Fiscal Year 2019 Financial Results Exhibit 99.1 JMP Group Reports Fourth Quarter and Fiscal Year 2019 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-February 19, 2020-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter and full fiscal year ended December 31, 2019. A summary of JMP Group’s operating results for the quarter and year ended December 3
February 19, 2020	EX-99.1	Press release of the Company announcing financial results, dated February 19, 2020. Exhibit 99.1 JMP Group Reports Fourth Quarter and Fiscal Year 2019 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-February 19, 2020-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter and full fiscal year ended December 31, 2019. A summary of JMP Group’s operating results for the quarter and year ended December 3
February 6, 2020	SC 13G/A	JMPB / JMP Group LLC / Mack Carter D - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8)* JMP Group LLC (Name of Issuer) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Securities) 46629U107 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriat
December 31, 2019	8-A12B	JMP / JMP Group LLC 8-A12B - - FORM 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 JMP GROUP LLC (Exact name of registrant as specified in its charter) Delaware 47-1632931 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 600 Mo
December 31, 2019	25	JMP / JMP Group LLC 25 - - FORM 25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-36802 JMP GROUP LLC / NEW YORK STOCK EXCHANGE (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 600 Montgomer
December 31, 2019	8-A12B	JMPC / JMP Group LLC 8-A12B - - FORM 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 JMP GROUP INC. (Exact name of registrant as specified in its charter) Delaware 20-1450327 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 600 M
December 20, 2019	8-K	Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 20, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number
December 20, 2019	EX-99.1	JMP GROUP TO TRANSFER LISTING OF SENIOR NOTES TO NASDAQ Exhibit 99.1 JMP GROUP TO TRANSFER LISTING OF SENIOR NOTES TO NASDAQ SAN FRANCISCO, Dec. 20, 2019 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that it is transferring the listing of its 6.875% senior notes due 2029 from the New York Stock Exchange (“NYSE”) to The Nasdaq Global Market (“Nasdaq”) and that its wholly owned subsidiary, JMP G
November 12, 2019	10-Q	JMP / JMP Group LLC 10-Q - Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP G
November 12, 2019	EX-10.31	Amendment Number Ten to Revolving Note and Cash Subordination Agreement & Revolving Note, dated June 6, 2018, by and between JMP Securities LLC and City National Bank (incorporated by reference to Exhibit 10.31 to the Company’s Quarterly Report on Form 10-Q (File No. 001-36802) filed on November 12, 2019). Exhibit 10.31 AMENDMENT NUMBER TEN TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE This AMENDMENT NUMBER TEN TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE (this “Amendment”), effective as of June 6, 2019, is entered into by and between JMP SECURITIES LLC, a Delaware limited liability company (“Broker/Dealer”), and CITY NATIONAL BANK, a national banking ass
October 23, 2019	EX-99.1	JMP Group Reports Third Quarter 2019 Financial Results Exhibit 99.1 JMP Group Reports Third Quarter 2019 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-October 23, 2019-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter ended September 30, 2019. A summary of JMP Group’s operating results for the quarter and nine months ended September 30, 2019, and for comparable pr
October 23, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 23, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
September 27, 2019	EX-99.1	JMP GROUP ANNOUNCES FULL REDEMPTION OF 8.00% SENIOR NOTES DUE 2023 AND SATISFACTION AND DISCHARGE OF INDENTURE Exhibit 99.1 JMP GROUP ANNOUNCES FULL REDEMPTION OF 8.00% SENIOR NOTES DUE 2023 AND SATISFACTION AND DISCHARGE OF INDENTURE SAN FRANCISCO, Sep. 27, 2019 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its wholly owned subsidiary, JMP Group Inc., has given notice of its intention to redeem all of the currently outstanding $25.0 million
September 27, 2019	8-K	Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2019 JMP Group LLC (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-36802 (Commission File Number) 47-1
September 26, 2019	8-A12B	JMP / JMP Group LLC 8-A12B - - FORM 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 JMP GROUP LLC (Exact name of registrant as specified in its charter) Delaware 47-1632931 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 600 Mo
September 26, 2019	EX-4.1	Indenture dated as of September 26, 2019, between JMP Group LLC and U.S. Bank National Association, as trustee (incorporated by reference to Exhibit 4.1 to the Registrant's Form 8-K filed on September 26, 2019). Exhibit 4.1 JMP GROUP LLC AND U.S. BANK NATIONAL ASSOCIATION, as Trustee INDENTURE Dated as of September 26, 2019 Debt Securities Reconciliation and tie between Trust Indenture Act of 1939, as amended, and the Indenture Trust Indenture Act Section Indenture Section §310(a)(1) 6.8 (a)(2) 6.8 (b) 6.9 §312(a) 7.1 (b) 7.2 (c) 7.2 §313(a) 7.3 (b)(2) 7.3 (c) 7.3 (d) 7.3 §314(a) 7.4 (c)(1) 1.2 (c)(2) 1.2
September 26, 2019	EX-4.2	First Supplemental Indenture dated as of September 26, 2019, between JMP Group LLC and U.S. Bank National Association, as trustee (incorporated by reference to Exhibit 4.2 of the Registrant's Form 8-K filed on September 26, 2019). Exhibit 4.2 FIRST SUPPLEMENTAL INDENTURE Dated as of September 26, 2019 To INDENTURE Dated as of September 26, 2019 6.875% SENIOR NOTES DUE 2029 JMP GROUP LLC, as the Company, and U.S. BANK NATIONAL ASSOCIATION, as Trustee TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.1 Relationship with Base Indenture 1 Section 1.2 Definitions 2 ARTICLE 2 THE NOTES 3 Sect
September 26, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 26, 2019 JMP Group LLC (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-36802 (Commission File Number) 47-1
September 20, 2019	424B4	$36,000,000 JMP Group LLC 6.875% Senior Notes due 2029 Table of Contents Filed Pursuant to Rule 424(b)(4) File No. 333-233389 File No. 333-233855 PROSPECTUS $36,000,000 JMP Group LLC 6.875% Senior Notes due 2029 JMP Group LLC is offering $36,000,000 aggregate principal amount of its 6.875% senior notes due 2029 (the “notes”). Interest on the notes will accrue from September 26, 2019, and will be paid quarterly in arrears on March 30, June 30, Septembe
September 20, 2019	EX-1.1	Underwriting Agreement, dated September 19, 2019, among JMP Group LLC and UBS Securities LLC and Morgan Stanley & Co. LLC, as representatives of the several underwriters named therein. Exhibit 1.1 UNDERWRITING AGREEMENT September 19, 2019 UBS Securities LLC Morgan Stanley & Co. LLC As Representatives of the several Underwriters named in Schedule A attached hereto c/o UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 Ladies and Gentlemen: JMP Group LLC, a Delaware limited liability company (the “Company”), proposes to issue and sell to the several underwrite
September 20, 2019	EX-99.2	JMP GROUP ANNOUNCES PRICING OF SENIOR NOTES Exhibit 99.2 JMP GROUP ANNOUNCES PRICING OF SENIOR NOTES SAN FRANCISCO, Sep. 19, 2019 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that it has priced an underwritten public offering of $36.0 million aggregate principal amount of 6.875% senior notes due 2029. Net proceeds to JMP Group after discounts and commissions but before expenses ar
September 20, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 19, 2019 JMP Group LLC (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-36802 (Commission File Number) 47-1
September 20, 2019	EX-99.1	JMP GROUP ANNOUNCES PUBLIC OFFERING OF SENIOR NOTES Exhibit 99.1 JMP GROUP ANNOUNCES PUBLIC OFFERING OF SENIOR NOTES SAN FRANCISCO, Sep. 19, 2019 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that it is commencing an underwritten public offering of senior notes due 2029. JMP Group intends to use a portion of the net proceeds of the offering to redeem up to all of the outstanding 8.00% seni
September 19, 2019	FWP	JMP GROUP LLC $36,000,000 6.875% Senior Notes due September 30, 2029 Term Sheet Filed pursuant to Rule 433 Registration No. 333-233389 Dated September 19, 2019 JMP GROUP LLC $36,000,000 6.875% Senior Notes due September 30, 2029 Term Sheet Issuer: JMP Group LLC Security description: 6.875% Senior Notes due 2029 Type of offering: SEC Registered Principal amount: $36,000,000 (1,440,000 shares) No Over-allotment option: The underwriters will not have an over-allotment option. Ma
September 19, 2019	S-1MEF	JMP / JMP Group LLC S-1MEF - - FORM S-1MEF As filed with the Securities and Exchange Commission on September 19, 2019 Registration No.
September 19, 2019	EX-4.7	Form of Senior Note (included as Exhibit A to Exhibit 4.7 above). Exhibit 4.7 FIRST SUPPLEMENTAL INDENTURE Dated as of [ ], 2019 To INDENTURE Dated as of [ ], 2019 [ ]% SENIOR NOTES DUE 2029 JMP GROUP LLC, as the Company, and U.S. BANK NATIONAL ASSOCIATION, as Trustee TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.1 Relationship with Base Indenture 1 Section 1.2 Definitions 2 ARTICLE 2 THE NOTES 3 Section 2.1 Form and Dat
September 19, 2019	EX-4.6	Form of Indenture. Exhibit 4.6 JMP GROUP LLC AND U.S. BANK NATIONAL ASSOCIATION, as Trustee INDENTURE Dated as of [ ], 2019 Debt Securities Reconciliation and tie between Trust Indenture Act of 1939, as amended, and the Indenture Trust Indenture Act Section Indenture Section §310(a)(1) 6.8 (a)(2) 6.8 (b) 6.9 §312(a) 7.1 (b) 7.2 (c) 7.2 §313(a) 7.3 (b)(2) 7.3 (c) 7.3 (d) 7.3 §314(a) 7.4 (c)(1) 1.2 (c)(2) 1.2 (e) 1.2
September 19, 2019	EX-1.1	Form of Underwriting Agreement. Exhibit 1.1 UNDERWRITING AGREEMENT [●], 2019 UBS Securities LLC Morgan Stanley & Co. LLC As Representatives of the several Underwriters named in Schedule A attached hereto c/o UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 Ladies and Gentlemen: JMP Group LLC, a Delaware limited liability company (the “Company”), proposes to issue and sell to the several underwriters named
September 19, 2019	EX-25.1	Form T-1 Statement of Eligibility under Trust Indenture Act of 1939 of Trustee. Exhibit 25.1 securities and exchange commission Washington, D.C. 20549 FORM T-1 Statement of Eligibility Under The Trust Indenture Act of 1939 of a Corporation Designated to Act as Trustee Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) ☐ U.S. BANK NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 31-0841368 I.R.S. Employer Identif
September 19, 2019	S-1/A	JMP / JMP Group LLC S-1/A - - FORM S-1/A Table of Contents As filed with the Securities and Exchange Commission on September 19, 2019 Registration No.
September 17, 2019	CORRESP	JMP / JMP Group LLC CORRESP - - JMP GROUP LLC 600 Montgomery Street, Suite 1100 San Francisco, CA 94111 September 17, 2019 VIA EDGAR U.
September 17, 2019	CORRESP	JMP / JMP Group LLC CORRESP - - September 17, 2019 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F.
September 6, 2019	EX-10.30	Amendment Number Six to Second Amended and Restated Credit Agreement dated September 5, 2019, by and between JMP Holding LLC, as Borrower, the lenders party thereto and City National Bank, a national banking association, as the administrative agent for the lenders (incorporated by reference to Exhibit 10.30 to the Registrant's Form 8-K filed on September 6, 2019). Exhibit 10.30 AMENDMENT NUMBER SIX TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT This AMENDMENT NUMBER SIX TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of September 5, 2019, is entered into by and between JMP HOLDING LLC, formerly known as JMP Group LLC, a Delaware limited liability company (“Borrower”), the lenders from time to time party to the below-defined Cre
September 6, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 5, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
August 21, 2019	EX-21.1	Consent of PricewaterhouseCoopers LLP . Exhibit 21.1 SUBSIDIARIES OF JMP GROUP LLC Name Jurisdiction of Incorporation or Organization JMP Group Inc. Delaware JMP Investment Holdings LLC Delaware JMP Holding LLC Delaware JMP Securities LLC Delaware Harvest Capital Strategies LLC Delaware JMP Capital LLC Delaware HCAP Advisors LLC Delaware JMP Asset Management LLC Delaware JMP Asset Management Inc. Delaware Harvest Capital Strategies Hold
August 21, 2019	S-1	Power of Attorney (included on signature pages to this registration statement) . Table of Contents As filed with the Securities and Exchange Commission on August 21, 2019 Registration No.
August 8, 2019	10-Q	June 30, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP Group
July 24, 2019	EX-99.1	JMP Group Reports Second Quarter 2019 Financial Results Exhibit 99.1 JMP Group Reports Second Quarter 2019 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-July 24, 2019-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter ended June 30, 2019. A summary of JMP Group’s operating results for the quarter and six months ended June 30, 2019, and for comparable prior periods,
July 24, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 24, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction (Commission (I.
July 3, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 1, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
July 3, 2019	EX-10.29	Amendment Number Five to Second Amended and Restated Credit Agreement dated as of July 1, 2019, by and between JMP Holding LLC, as Borrower, the lenders party thereto and City National Bank, a national banking association, as the administrative agent for the lenders (incorporated by reference to Exhibit 10.29 to the Registrant's Form 8-K filed on July 3, 2019). Exhibit 10.29 AMENDMENT NUMBER FIVE TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT This AMENDMENT NUMBER FIVE TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of July 1, 2019, is entered into by and between JMP HOLDING LLC, formerly known as JMP Group LLC, a Delaware limited liability company (“Borrower”), the lenders from time to time party to the below-defined Credit
June 18, 2019	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 18, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
June 18, 2019	EX-99.1	JMP GROUP ANNOUNCES PARTIAL REDEMPTION OF 8.00% SENIOR NOTES DUE 2023 Exhibit 99.1 JMP GROUP ANNOUNCES PARTIAL REDEMPTION OF 8.00% SENIOR NOTES DUE 2023 SAN FRANCISCO, June 18, 2019 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its wholly owned subsidiary, JMP Group Inc., has given notice of its intention to redeem $11.0 million principal amount (440,000 Units) of its 8.00% Senior Notes due 2023 (CUSIP
June 18, 2019	EX-99.A5C	Press Release issued on June 18, 2019.** Exhibit (a)(5)(C) JMP GROUP ANNOUNCES RESULTS OF SELF-TENDER OFFER SAN FRANCISCO, June 18, 2019 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, today announced the final results of its previously announced tender offer to purchase up to 3,000,000 shares representing limited liability company interests in JMP Group (the “Shares”) at a purchase price per Share of $3.
June 18, 2019	SC TO-I/A	JMP / JMP Group LLC SC TO-I/A - - SCHEDULE TO-I/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT under Section 14(d)(1) or Section 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 2) JMP GROUP LLC (Name Of Subject Company (Issuer)) JMP GROUP LLC (Name of Filing Persons (Offeror)) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Sec
June 3, 2019	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 3, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
May 28, 2019	SC TO-I/A	JMP / JMP Group LLC SC TO-I/A - - SCHEDULE TO-I/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT under Section 14(d)(1) or Section 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 1) JMP GROUP LLC (Name Of Subject Company (Issuer)) JMP GROUP LLC (Name of Filing Persons (Offeror)) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Sec
May 22, 2019	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 22, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
May 16, 2019	EX-99.A1C	Form of Notice of Guaranteed Delivery (including Guidelines of the Internal Revenue Service for Certification of Taxpayer Identification Number on substitute Form W-9) (incorporated by reference to Exhibit (a)(1)(C) to the Registrant's Schedule TO filed on May 16, 2019).* Exhibit (a)(1)(C) JMP GROUP LLC NOTICE OF GUARANTEED DELIVERY FOR TENDER OF SHARES This notice of guaranteed delivery, or one substantially in the form hereof, must be used to accept the Offer by JMP Group LLC if: ● certificates evidencing shares of JMP Group LLC representing limited liability company interests that are not immediately available or cannot be delivered to the depositary before the
May 16, 2019	SC TO-I	JMP / JMP Group LLC SC TO-I SCHEDULE TO-I UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT under Section 14(d)(1) or Section 13(e)(1) of the Securities Exchange Act of 1934 JMP GROUP LLC (Name Of Subject Company (Issuer)) JMP GROUP LLC (Name of Filing Persons (Offeror)) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Securities) 46629U107
May 16, 2019	EX-99.A1B	Form of Letter of Transmittal (incorporated by reference to Exhibit (a)(1)(B) to the Registrant's Schedule TO filed on May 16, 2019).* Exhibit (a)(1)(B) Letter of Transmittal to Tender Shares Representing Limited Liability Company Interests in JMP Group LLC at a Purchase Price of $3.
May 16, 2019	EX-99.A5B	Form of Summary Advertisement (incorporated by reference to Exhibit (a)(5)(B) to the Registrant's Schedule TO filed on May 16, 2019).* Exhibit (a)(5)(B) This announcement is neither an offer to purchase nor a solicitation of an offer to sell shares of JMP Group LLC.
May 16, 2019	EX-99.A1E	Form of Letter to Clients for Use by Brokers, Dealers, Banks, Trust Companies and Other Nominees (incorporated by reference to Exhibit (a)(1)(E) to the Registrant's Schedule TO filed on May 16, 2019).* Exhibit (a)(1)(E) JMP GROUP LLC OFFER TO PURCHASE FOR CASH UP TO A MAXIMUM OF 3,000,000 SHARES REPRESENTING LIMITED LIABILITY COMPANY INTERESTS AT A PURCHASE PRICE OF $3.
May 16, 2019	EX-99.A1D	Form of Letter to Brokers, Dealers, Banks, Trust Companies and Other Nominees (incorporated by reference to Exhibit (a)(1)(D) to the Registrant's Schedule TO filed on May 16, 2019).* Exhibit (a)(1)(D) JMP GROUP LLC OFFER TO PURCHASE FOR CASH UP TO A MAXIMUM OF 3,000,000 SHARES REPRESENTING LIMITED LIABILITY COMPANY INTERESTS AT A PURCHASE PRICE OF $3.
May 16, 2019	EX-99.A1A	Offer to Purchase dated May 16, 2019 (incorporated by reference to Exhibit (a)(1)(A) to the Registrant's Schedule TO filed on May 16, 2019).* Exhibit (a)(1)(A) JMP GROUP LLC OFFER TO PURCHASE FOR CASH UP TO A MAXIMUM OF 3,000,000 SHARES REPRESENTING LIMITED LIABILITY COMPANY INTERESTS AT A PURCHASE PRICE OF $3.
May 14, 2019	10-Q	March 31, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP Group
May 13, 2019	EX-99.1	JMP GROUP ANNOUNCES SELF-TENDER OFFER Exhibit 99.1 JMP GROUP ANNOUNCES SELF-TENDER OFFER SAN FRANCISCO, May 13, 2019 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, today announced its plan to launch a tender offer to purchase up to 3,000,000 shares representing limited liability company interests in JMP Group (the “Shares”) at a purchase price per Share of $3.95. On May 13, 2019, the closing
May 13, 2019	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 13, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
May 13, 2019	EX-99.1	Press Release issued by the Company, dated May 13, 2019. Exhibit 99.1 JMP GROUP ANNOUNCES SELF-TENDER OFFER SAN FRANCISCO, May 13, 2019 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, today announced its plan to launch a tender offer to purchase up to 3,000,000 shares representing limited liability company interests in JMP Group (the “Shares”) at a purchase price per Share of $3.95. On May 13, 2019, the closing
May 13, 2019	SC TO-C	JMP / JMP Group LLC SC TO-C FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 13, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
May 1, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 1, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
May 1, 2019	EX-99.1	JMP Group Reports First Quarter 2019 Financial Results Exhibit 99.1 JMP Group Reports First Quarter 2019 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-May 1, 2019-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter ended March 31, 2019. A summary of JMP Group’s operating results for the quarter ended March 31, 2019, and for comparable prior periods, is set forth bel
April 26, 2019	DEF 14A	Schedule 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State
April 22, 2019	EX-99.1	JMP GROUP ANNOUNCES EXTENSION OF SHARE REPURCHASE PROGRAM Exhibit 99.1 JMP GROUP ANNOUNCES EXTENSION OF SHARE REPURCHASE PROGRAM SAN FRANCISCO, Apr. 22, 2019 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its board of directors has extended the term of the company’s share repurchase program through June 30, 2019. The current repurchase program was initially authorized on December 13, 2017, a
April 22, 2019	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 18, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
March 29, 2019	SC 13D/A	HCAP / Harvest Capital Credit Corp / JMP GROUP LLC - SCHEDULE 13D/A Activist Investment SC 13D/A 1 jmpllc20190328sc13da.htm SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 6) HARVEST CAPITAL CREDIT CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 41753F109 (CUSIP Number) Walter Conroy Chief Legal Officer JMP Group LLC 600 Montgomery Street, Suite 1100 S
March 28, 2019	10-K	Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP Group LLC
March 28, 2019	EX-21	List of subsidiaries of JMP Group LLC. Exhibit 21 Subsidiaries of JMP Group LLC Name Jurisdiction of Incorporation or Organization JMP Group Inc.
March 27, 2019	SC 13D/A	JMPB / JMP Group LLC / Jolson Joseph A - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 14) JMP Group LLC (Name of Issuer) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Securities) 46629U107 (CUSIP Number) Walter Conroy Chief Legal Officer JMP Group LLC 600 Montgomery Street, Suite 1100 San Francisc
March 20, 2019	8-K	Financial Statements and Exhibits, 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 19, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
March 20, 2019	EX-99.1	JMP GROUP ANNOUNCES SALE OF MAJORITY INTEREST IN JMP CREDIT ADVISORS Exhibit 99.1 JMP GROUP ANNOUNCES SALE OF MAJORITY INTEREST IN JMP CREDIT ADVISORS SAN FRANCISCO, Mar. 20, 2019 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that it has sold a 50.1% equity interest in JMP Credit Advisors LLC (“JMPCA”) to Medalist Partners LP, an alternative asset management firm specializing in structured credit and asset
February 13, 2019	EX-99.1	JMP Group Reports Fourth Quarter and Fiscal Year 2018 Financial Results Exhibit 99.1 JMP Group Reports Fourth Quarter and Fiscal Year 2018 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-February 13, 2019-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter and full fiscal year ended December 31, 2018. A summary of JMP Group’s operating results for the quarter and year ended December 3
February 13, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 13, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
February 6, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 6, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
February 6, 2019	EX-10.28	Form of Deferred Restricted Share Unit Award Agreement (Section 16) (incorporated by reference to Exhibit 10.28 to the Company’s Current Report on Form 8-K (File No. 001-36802) filed on February 6, 2019). Exhibit 10.28 JMP GROUP LLC amended and restated EQUITY INCENTIVE PLAN NOTICE OF DEFERRED Restricted share Unit AWARD Grantee’s Name and Address: You, the above-named “Grantee,” have been granted an award of Restricted Share Units (the “Award”), subject to the terms and conditions of this Notice of Deferred Restricted Share Unit Award (the “Notice”), the JMP Group LLC (“JMP” or the “Company”) Amen
January 30, 2019	SC 13G/A	JMPB / JMP Group LLC / Mack Carter D - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* JMP Group LLC (Name of Issuer) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Securities) 46629U107 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriat
January 17, 2019	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 17, 2019 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
January 17, 2019	EX-99.1	JMP GROUP ANNOUNCES CHANGE TO TAX STATUS AND SPECIAL CASH DISTRIBUTION Exhibit 99.1 JMP GROUP ANNOUNCES CHANGE TO TAX STATUS AND SPECIAL CASH DISTRIBUTION SAN FRANCISCO, Jan. 17, 2019 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its board of directors has approved a change of the company’s tax status. The company intends to file an election with the Internal Revenue Service to be treated as a C corpora
December 13, 2018	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 13, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
December 4, 2018	EX-99.1	JMP GROUP ANNOUNCES EXTENSION OF SHARE REPURCHASE PROGRAM Exhibit 99.1 JMP GROUP ANNOUNCES EXTENSION OF SHARE REPURCHASE PROGRAM SAN FRANCISCO, Dec. 4, 2018 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its board of directors has extended the term of the company’s share repurchase program through April 30, 2019. The current repurchase program was initially authorized on December 13, 2017, a
December 4, 2018	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 3, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
November 9, 2018	EX-10.27	Third Amendment to Office Lease, dated as of October 31, 2018, by and among Transamerica Pyramid Properties, LLC as landlord, and JMP Group Inc. as tenant (incorporated by reference to Exhibit 10.27 to the Company’s Quarterly Report on Form 10-Q (File No. 001-36802) filed on November 9, 2018). Exhibit 10.27 THIRD AMENDMENT TO OFFICE LEASE THIS THIRD AMENDMENT TO OFFICE LEASE (this “Amendment”), dated as of October 31, 2018 (the “Effective Date”), is entered into by and between TRANSAMERICA PYRAMID PROPERTIES, LLC, an Iowa limited liability company (“Landlord”), and JMP GROUP INC., a Delaware corporation (“Tenant”). Capitalized terms used in this Amendment without definition shall have t
November 9, 2018	10-Q	JMP / JMP Group LLC FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP G
November 9, 2018	EX-10.26	Lease Agreement, dated August 10, 2011, between Transamerica Pyramid Properties, LLC, as landlord, and JMP Group Inc., as tenant (incorporated by reference to Exhibit 10.26 to the Registrant's Form 10-Q filed on November 9, 2018). Exhibit 10.26 LEASE AGREEMENT BETWEEN TRANSAMERICA PYRAMID PROPERTIES, LLC, AN IOWA LIMITED LIABILITY COMPANY, AS LANDLORD AND JMP GROUP INC., A Delaware corporation, AS TENANT 600 Montgomery Street San francisco, california AUGUST 10, 2011 TABLE OF CONTENTS 1. PREMISES 1 1.1 Lease of Premises 1 1.2 Premises Description 2 2. TERM 3 2.1 Commencement 3 2.2 Delivery of Premises 3 3. RENT 3 3.1 Paymen
November 1, 2018	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 31, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
November 1, 2018	SC 13D/A	JMPB / JMP Group LLC / Jolson Joseph A - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13) JMP Group LLC (Name of Issuer) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Securities) 46629U107 (CUSIP Number) Walter Conroy Chief Legal Officer JMP Group LLC 600 Montgomery Street, Suite 1100 San Francisc
October 24, 2018	EX-99.1	JMP Group Reports Third Quarter 2018 Financial Results Exhibit 99.1 JMP Group Reports Third Quarter 2018 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-October 24, 2018-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter ended September 30, 2018. A summary of JMP Group’s operating results for the quarter and nine months ended September 30, 2018, and for comparable pr
October 24, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 24, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
October 12, 2018	EX-10.25	Credit Agreement, dated as of October 11, 2018, by and among BNP Paribas, as lender and administrative agent, JMP Credit Advisors Long-Term Warehouse Ltd., as borrower, JMP Credit Advisors CLO VI Warehouse Ltd., as a subsidiary of borrower, each other CLO Subsidiary from time to time party thereto, JMP Credit Advisors LLC, as collateral manager, and JMP Capital LLC as preferred investor (incorporated by reference to Exhibit 10.25 to the Registrant's Form 8-K filed on October 12, 2018). Exhibit 10.25 Conformed VERSION CREDIT AGREEMENT by and among BNP PARIBAS, as a Lender, the other Lenders party hereto, JMP CREDIT ADVISORS LONG-TERM WAREHOUSE LTD., as Borrower, EACH CLO SUBSIDIARY FROM TIME TO TIME PARTY HERETO, as CLO Subsidiaries, BNP PARIBAS, as Administrative Agent, JMP CREDIT ADVISORS LLC, as Collateral Manager, and JMP CAPITAL LLC as Preferred Investor As of October 11, 20
October 12, 2018	8-K	Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 11, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
September 19, 2018	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 19, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
August 7, 2018	EX-10.23	Amendment Number Nine to Revolving Note and Cash Subordination Agreement & Revolving Note, dated June 6, 2018, by and between JMP Securities LLC and City National Bank (incorporated by reference to Exhibit 10.23 to the Registrant’s Form 10-Q filed on August 7, 2018). Exhibit 10.23 EXECUTION VERSION AMENDMENT NUMBER NINE TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE This AMENDMENT NUMBER NINE TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE (this “Amendment”), effective as of June 6, 2018, is entered into by and between JMP SECURITIES LLC, a Delaware limited liability company (“Broker/Dealer”), and CITY NATIONAL BANK, a
August 7, 2018	10-Q	JMP / JMP Group LLC FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP Group
August 7, 2018	EX-10.24	Amendment Number Four to Second Amended and Restated Credit Agreement, dated August 6, 2018, by and between JMP Holding LLC, the lenders, and City National Bank (incorporated by reference to Exhibit 10.24 to the Company’s Quarterly Report on Form 10-Q (File No. 001-36802) filed on August 7, 2018). Exhibit 10.24 AMENDMENT NUMBER FOUR TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT This AMENDMENT NUMBER FOUR TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of August 6, 2018 is entered into by and between JMP HOLDING LLC, formerly known as JMP Group LLC, a Delaware limited liability company (“Borrower”), the lenders from time to time party to the below-defined Credi
July 27, 2018	EX-10.22	Indenture, dated as of July 26, 2018, among JMP Credit Advisors CLO V Ltd., as Issuer, JMP Credit Advisors CLO V LLC, as Co-Issuer, and U.S. Bank National Association, as Trustee (incorporated by reference to Exhibit 10.22 to the Registrant’s Form 8-K filed on July 27, 2018). Exhibit 10.22 CONFORMED VERSION JMP CREDIT ADVISORS CLO V LTD. Issuer, JMP CREDIT ADVISORS CLO V LLC Co-Issuer, AND U.S. BANK NATIONAL ASSOCIATION Trustee INDENTURE Dated as of July 26, 2018 COLLATERALIZED LOAN OBLIGATIONS TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 2 Section 1.1 Definitions. 2 Section 1.2 Rules of Construction. 69 Section 1.3 Assumptions as to Pledged Obligations. 69 ARTICLE II
July 27, 2018	EX-99.1	JMP GROUP ANNOUNCES CLOSING OF CLO TRANSACTION Exhibit 99.1 JMP GROUP ANNOUNCES CLOSING OF CLO TRANSACTION SAN FRANCISCO, July 27, 2018 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today the closing of a $407.8 million collateralized loan obligation, or CLO, transaction issued by two newly formed special purpose vehicles and backed by a diversified portfolio of broadly syndicated leveraged
July 27, 2018	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 26, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
July 25, 2018	EX-99.1	JMP Group Reports Second Quarter 2018 Financial Results Exhibit 99.1 JMP Group Reports Second Quarter 2018 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-July 25, 2018-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter ended June 30, 2018. A summary of JMP Group’s operating results for the quarter and six months ended June 30, 2018, and for comparable prior periods,
July 25, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 25, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
July 10, 2018	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 10, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
July 10, 2018	EX-99.1	JMP GROUP ANNOUNCES PARTIAL REDEMPTION OF 8.00% SENIOR NOTES DUE 2023 Exhibit 99.1 JMP GROUP ANNOUNCES PARTIAL REDEMPTION OF 8.00% SENIOR NOTES DUE 2023 SAN FRANCISCO, July 10, 2018 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its wholly owned subsidiary, JMP Group Inc., has given notice of its intention to redeem $10.0 million principal amount of its 8.00% Senior Notes due 2023 (CUSIP No. 46629U 206;
June 21, 2018	8-K	Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 21, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
June 21, 2018	EX-10.21	Second Amendment to Credit Agreement, dated as of June 21, 2018, among JMP Credit Advisors CLO V Ltd., as Borrower, JMP Credit Advisors LLC, as Collateral Manager, and BNP Paribas, as Lender (incorporated by reference to Exhibit 10.21 to the Registrant’s Form 8-K filed on June 21, 2018). Exhibit 10.21 Conformed copy SECOND AMENDMENT TO CREDIT AGREEMENT THIS SECOND AMENDMENT TO CREDIT AGREEMENT, dated as of June 21, 2018 (this “Second Amendment”), by and among BNP Paribas and each of the other lenders from time to time a party hereto, (the “Lenders”), JMP Credit Advisors CLO V Ltd. (the “Borrower”), BNP Paribas, as administrative agent (the “Administrative Agent”), JMP Credit Advis
June 18, 2018	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 18, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
June 4, 2018	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 4, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
May 24, 2018	SC 13D/A	JMPB / JMP Group LLC / Jolson Joseph A - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12) JMP Group LLC (Name of Issuer) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Securities) 46629U107 (CUSIP Number) Walter Conroy Chief Legal Officer JMP Group LLC 600 Montgomery Street, Suite 1100 San Francisc
May 16, 2018	SC 13D/A	HCAP / Harvest Capital Credit Corp / JMP GROUP LLC - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 5) HARVEST CAPITAL CREDIT CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 41753F109 (CUSIP Number) Walter Conroy Chief Legal Officer JMP Group LLC 600 Montgomery Street, Suite 1100 San Francisco, California 94111 Telephone No. (415)
May 10, 2018	10-Q	JMP / JMP Group LLC FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP Group
May 10, 2018	EX-10.20	First Amendment to Credit Agreement, dated as of May 2, 2018, among JMP Credit Advisors CLO V Ltd,. as Borrower, JMP Credit Advisors LLC, as Collateral Manager, and BNP Paribas, as Lender (incorporated by reference to Exhibit 10.20 to the Company’s Quarterly Report on Form 10-Q (File No. 001-36802) filed on May 10, 2018). Exhibit 10.20 EXECUTION VERSION FIRST AMENDMENT TO CREDIT AGREEMENT THIS FIRST AMENDMENT TO CREDIT AGREEMENT, dated as of May 2, 2018 (this "First Amendment"), by and among BNP Paribas and each of the other lenders from time to time a party hereto, (the "Lenders"), JMP Credit Advisors CLO V Ltd. (the "Borrower"), BNP Paribas, as administrative agent (the "Administrative Agent"), JMP Credit Advisor
May 3, 2018	8-K	Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 2, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
May 3, 2018	EX-10.20	First Amendment to Credit Agreement, dated as of May 2, 2018, among JMP Credit Advisors CLO V Ltd., as Borrower, JMP Credit Advisors LLC, as Collateral Manager, and BNP Paribas, as Lender. Exhibit 10.20 EXECUTION VERSION FIRST AMENDMENT TO CREDIT AGREEMENT THIS FIRST AMENDMENT TO CREDIT AGREEMENT, dated as of May 2, 2018 (this "First Amendment"), by and among BNP Paribas and each of the other lenders from time to time a party hereto, (the "Lenders"), JMP Credit Advisors CLO V Ltd. (the "Borrower"), BNP Paribas, as administrative agent (the "Administrative Agent"), JMP Credit Advisor
May 2, 2018	EX-99.1	JMP Group Reports First Quarter 2018 Financial Results Exhibit 99.1 JMP Group Reports First Quarter 2018 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-May 2, 2018-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter ended March 31, 2018. The net loss attributable to JMP Group under generally accepted accounting principles, or GAAP, was $0.3 million, or $0.01 per dilu
May 2, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 2, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
April 25, 2018	DEF 14A	JMP / JMP Group LLC FORM DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defi
April 5, 2018	SC 13D/A	HCAP / Harvest Capital Credit Corp / JMP GROUP LLC - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 4) HARVEST CAPITAL CREDIT CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 41753F109 (CUSIP Number) Walter Conroy Chief Legal Officer JMP Group LLC 600 Montgomery Street, Suite 1100 San Francisco, California 94111 Telephone No. (415)
April 3, 2018	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 2, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
March 27, 2018	EX-21	Subsidiaries of JMP Group LLC Exhibit 21 Subsidiaries of JMP Group LLC Name Jurisdiction of Incorporation or Organization JMP Group Inc.
March 27, 2018	10-K	JMP / JMP Group LLC FORM 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP Group LLC
February 22, 2018	EX-10.19	Indenture, dated as of February 20, 2018, among JMP Credit Advisors CLO III(R) Ltd., as Issuer, JMP Credit Advisors CLO III(R) LLC, as Co-Issuer, and U.S. Bank National Association, as Trustee (incorporated by reference to Exhibit 10.19 to the Company’s Current Report on Form 8-K (File No. 001-36802) filed on February 22, 2018). ex105646.htm Exhibit 10.19 EXECUTION VERSION JMP CREDIT ADVISORS CLO III(R) LTD. Issuer, JMP CREDIT ADVISORS CLO III(R) LLC Co-Issuer, AND U.S. BANK NATIONAL ASSOCIATION Trustee INDENTURE Dated as of February 20, 2018 COLLATERALIZED LOAN OBLIGATIONS TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 2 Section 1.1 Definitions 2 Section 1.2 Rules of Construction 65 Section 1.3 Assumptions as to Pledged Ob
February 22, 2018	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 20, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
February 15, 2018	8-K	Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant jmpllc201802138k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 9, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Comm
February 14, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 14, 2018 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
February 14, 2018	EX-99.1	JMP Group Reports Fourth Quarter and Fiscal Year 2017 Financial Results Exhibit 99.1 JMP Group Reports Fourth Quarter and Fiscal Year 2017 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-February 14, 2018-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter and full fiscal year ended December 31, 2017. The net loss attributable to JMP Group under generally accepted accounting principle
February 13, 2018	SC 13G/A	JMPB / JMP Group LLC / Mack Carter D - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* JMP Group LLC (Name of Issuer) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Securities) 46629U107 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriat
February 8, 2018	SC 13G/A	JMPB / JMP Group LLC / Wellington Management Group LLP - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* JMP Group LLC (Name of Issuer) Common Stock (Title of Class of Securities) 46629U107 (CUSIP Number) December 29, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule
February 8, 2018	SC 13G/A	JMPB / JMP Group LLC / Wellington Trust Co NA - SEC SCHEDULE 13G Passive Investment SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* JMP Group LLC (Name of Issuer) Common Stock (Title of Class of Securities) 46629U107 (CUSIP Number) December 29, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desig
February 8, 2018	SC 13G/A	JMPB / JMP Group LLC / Wellington Trust Company, National Association Multiple Common Trust Funds Trust, Micro Cap Equity Portfolio - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* JMP Group LLC (Name of Issuer) Common Stock (Title of Class of Securities) 46629U107 (CUSIP Number) December 29, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule
January 8, 2018	SC 13D/A	JMPB / JMP Group LLC / Johnson Craig R - SCHEDULE 13D/A Activist Investment SC 13D/A 1 johnson20180108sc13da.htm SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) JMP Group LLC (Name of Issuer) Shares representing limited liability company interests in JMP Group LLC (Title of Class of Securities) 46629U107 (CUSIP Number) Walter Conroy Chief Legal Officer JMP Group
January 4, 2018	SC 13D/A	HCAP / Harvest Capital Credit Corp / JMP GROUP LLC - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3) HARVEST CAPITAL CREDIT CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 41753F109 (CUSIP Number) Walter Conroy Chief Legal Officer JMP Group LLC 600 Montgomery Street, Suite 1100 San Francisco, California 94111 Telephone No. (415)
December 13, 2017	EX-99.1	JMP GROUP ANNOUNCES 2018 SHARE REPURCHASE PROGRAM ex102027.htm Exhibit 99.1 JMP GROUP ANNOUNCES 2018 SHARE REPURCHASE PROGRAM SAN FRANCISCO, Dec. 13, 2017 ? JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its board of directors has authorized the repurchase of up to one million of the company?s outstanding common shares during 2018. As of the close of the market on December 12, 2017, 63
December 13, 2017	8-K	Financial Statements and Exhibits, Other Events jmpllc201712138k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 11, 2017 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Com
November 28, 2017	8-K	Financial Statements and Exhibits, Other Events jmpllc201711278k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 28, 2017 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Com
November 28, 2017	EX-99.1	JMP GROUP ANNOUNCES FULL REDEMPTION OF 7.25% SENIOR NOTES DUE 2021 ex101112.htm Exhibit 99.1 JMP GROUP ANNOUNCES FULL REDEMPTION OF 7.25% SENIOR NOTES DUE 2021 SAN FRANCISCO, Nov. 28, 2017 ? JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its wholly owned subsidiary, JMP Group Inc., has given notice of its intention to redeem all of the currently outstanding $48.3 million principal amount of its 7.25% S
November 28, 2017	EX-99.2	NOTICE OF FULL REDEMPTION JMP GROUP INC. 7.25% SENIOR NOTES DUE 2021 CUSIP: 46629U 305; ISIN: US46629U3059; NYSE: JMPC Redemption Date: December 28, 2017 ex101113.htm Exhibit 99.2 NOTICE OF FULL REDEMPTION JMP GROUP INC. 7.25% SENIOR NOTES DUE 2021 CUSIP: 46629U 305; ISIN: US46629U3059; NYSE: JMPC Redemption Date: December 28, 2017 NOTICE IS HEREBY GIVEN that the entire principal amount of the above-referenced notes (the ?Notes?) issued pursuant to that certain Indenture, dated as of January 24, 2013 (the ?Base Indenture?), between JMP Group In
November 28, 2017	8-A12B	JMPC / JMP Group LLC FORM 8-A12B jmp201711278a12b.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 JMP GROUP INC. (Exact name of registrant as specified in its charter) Delaware 20-1450327 (State of incorporation or organization) (IRS Employer Identification No.) 600 Montg
November 28, 2017	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant jmpllc201711278k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 28, 2017 JMP Group LLC (Exact name of registrant as specified in its charter) Commission File Number: 001-36802 Delaware (State or other jurisdiction of
November 28, 2017	EX-4.1	Fourth Supplemental Indenture dated as of November 28, 2017 among JMP Group Inc., JMP group LLC, JMP Investment Holdings LLC, and U.S. Bank National Association, as trustee (incorporated by reference to Exhibit 4.1 to the Registrant's current report on Form 8-k filed on November 28, 2017). ex101115.htm Exhibit 4.1 EXECUTION VERSION FOURTH SUPPLEMENTAL INDENTURE Dated as of November 28, 2017 To INDENTURE Dated as of January 24, 2013 7.25% SENIOR NOTES DUE 2027 JMP GROUP INC., As the Company, JMP GROUP LLC and JMP INVESTMENT HOLDINGS LLC, As Guarantors, and U.S. BANK NATIONAL ASSOCIATION As Trustee TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1
November 22, 2017	EX-1.1	Underwriting Agreement, dated November 20, 2017, between JMP Group Inc., JMP Group LLC, JMP Investment Holdings LLC and UBS Securities LLC and Morgan Stanley & Co. LLC, as representatives of the several underwriters named therein. ex100914.htm Exhibit 1.1 EXECUTION VERSION UNDERWRITING AGREEMENT November 20, 2017 UBS Securities LLC Morgan Stanley & Co. LLC As Representatives of the several Underwriters named in Schedule A attached hereto c/o UBS Securities LLC 1285 Avenue of the Americas New York, NY 10019 Ladies and Gentlemen: JMP Group Inc., a Delaware corporation (the ?Company?), proposes to issue and sell to the several
November 22, 2017	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events jmpllc201711208k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 20, 2017 JMP Group LLC (Exact name of registrant as specified in its charter) Commission File Number: 001-36802 Delaware (State or other jurisdiction of
November 22, 2017	EX-99.1	JMP GROUP ANNOUNCES PUBLIC OFFERING OF SENIOR NOTES ex100883.htm Exhibit 99.1 JMP GROUP ANNOUNCES PUBLIC OFFERING OF SENIOR NOTES SAN FRANCISCO, Nov. 20, 2017 ? JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its wholly owned subsidiary, JMP Group Inc., is commencing an underwritten public offering of senior notes due 2027. The company intends to use a portion of the net proceeds of the o
November 22, 2017	EX-12.1	Statement Regarding the Computation of Ratio of Earnings to Fixed Charges of JMP Group LLC. ex100880.htm Exhibit 12.1 JMP GROUP LLC STATEMENT REGARDING COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES The following table sets forth our consolidated ratio of earnings to fixed charges for the periods indicated. For purposes of determining the ratio of earnings to fixed charges, earnings are defined as earnings from continuing operations plus distributed income of equity investees before i
November 22, 2017	EX-99.2	JMP GROUP ANNOUNCES PRICING OF SENIOR NOTES EX-99.2 7 ex100904.htm EXHIBIT 99.2 Exhibit 99.2 JMP GROUP ANNOUNCES PRICING OF SENIOR NOTES SAN FRANCISCO, Nov. 20, 2017 — JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, announced today that its wholly owned subsidiary, JMP Group Inc., has priced an underwritten public offering of $50.0 million aggregate principal amount of 7.25% senior notes due 2027. Net
November 22, 2017	EX-12.2	Statement Regarding the Computation of Ratio of Earnings to Fixed Charges of JMP Group Inc. ex100881.htm Exhibit 12.2 JMP GROUP INC. STATEMENT REGARDING COMPUTATION OF RATIO OF EARNINGS TO FIXED CHARGES The following table sets forth the consolidated ratio of earnings to fixed charges of JMP Group Inc. for the periods indicated. On January 1, 2015, JMP Group Inc. consummated a reorganization transaction pursuant to which JMP Group Inc. became a wholly owned subsidiary of JMP Group LLC (t
November 21, 2017	424B5	$50,000,000 JMP Group Inc. 7.25% Senior Notes due 2027 Unconditionally Guaranteed by JMP Group LLC and JMP Investment Holdings LLC jmp20171110424b5.htm Filed Pursuant to Rule 424(b)(5) File No. 333-217396 File No. 333-217396-01 File No. 333-217396-02 PROSPECTUS SUPPLEMENT (To prospectus dated April 28, 2017) $50,000,000 JMP Group Inc. 7.25% Senior Notes due 2027 Unconditionally Guaranteed by JMP Group LLC and JMP Investment Holdings LLC JMP Group Inc. is offering $50,000,000 aggregate principal amount of its 7.25% senior note
November 20, 2017	424B5	$ JMP Group Inc. % Senior Notes due 2027 Unconditionally Guaranteed by JMP Group LLC and JMP Investment Holdings LLC jmp20171110424b5.htm Filed Pursuant to Rule 424(b)(5) File No. 333-217396 File No. 333-217396-01 File No. 333-217396-02 The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. A registration statement relating to the notes has become effective under the Securities Act of 1933, as amended. This preliminary prospectus supplement i
November 9, 2017	10-Q	JMP / JMP Group LLC FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36802 JMP G
November 9, 2017	EX-10.18	Credit Agreement, dated as of July 31, 2017, among JMP Credit Advisors CLO V Ltd., as Borrower, JMP Credit Advisors LLC, as Collateral Manager, and BNP Paribas, as Lender (incorporated by reference to Exhibit 10.18 to the Company’s Quarterly Report on Form 10-Q (File No. 001-36802) filed on November 9, 2017). EX-10.18 2 ex99508.htm EXHIBIT 10.18 Exhibit 10.18 CONFORMED COPY CREDIT AGREEMENT by and among BNP PARIBAS, as a Lender, the other Lenders party hereto, JMP CREDIT ADVISORS CLO V LTD., as Borrower, BNP PARIBAS, as Administrative Agent, JMP CREDIT ADVISORS LLC, as Collateral Manager, and JMP INVESTMENT HOLDINGS LLC, as Preferred Investor As of [July 31], 2017 TABLE OF CONTENTS Page SECTION 1. Defi
November 1, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2017 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
November 1, 2017	EX-99.1	JMP Group Reports Third Quarter 2017 Financial Results Exhibit 99.1 JMP Group Reports Third Quarter 2017 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-November 1, 2017-JMP Group LLC (NYSE: JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter ended September 30, 2017. The net loss attributable to JMP Group under generally accepted accounting principles, or GAAP, was $1.2 million, or $0.06
August 8, 2017	EX-10.17	Amendment Number Eight to Revolving Note and Cash Subordination Agreement & Revolving Note, dated May 9, 2017, between JMP Securities LLC, City National Bank (incorporated by reference to Exhibit 10.17 to the Registrant’s Form 10-Q filed on August 8, 2017). EX-10.17 3 ex10-17.htm EXHIBIT 10.17 Exhibit 10.17 AMENDMENT NUMBER EIGHT TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE This AMENDMENT NUMBER EIGHT TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE (this “Amendment”), effective as of May 9, 2017, is entered into by and between JMP SECURITIES LLC, a Delaware limited liability company (“Broker/Dealer”), and CI
August 8, 2017	10-Q	JMP / JMP Group LLC FORM 10-Q (Quarterly Report) jmpllc2017063010q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number
August 8, 2017	EX-10.16	Amendment Number Three to Second Amended and Restated Credit Agreement, dated May 9, 2017, between JMP Holding LLC and City National Bank (incorporated by reference to Exhibit 10.16 to the Registrant’s Form 10-Q filed on August 8, 2017). EX-10.16 2 ex10-16.htm EXHIBIT 10.16 Exhibit 10.16 AMENDMENT NUMBER THREE TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT This AMENDMENT NUMBER THREE TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of May 9, 2017 is entered into by and between JMP HOLDING LLC, formerly known as JMP Group LLC, a Delaware limited liability company (“Borrower”), and CITY NATIONAL BANK, a
August 1, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2017 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I.
August 1, 2017	EX-99.1	JMP Group Reports Second Quarter 2017 Financial Results Exhibit 99.1 JMP Group Reports Second Quarter 2017 Financial Results SAN FRANCISCO-(BUSINESS WIRE)-August 1, 2017-JMP Group LLC (NYSE:JMP), an investment banking and alternative asset management firm, reported financial results today for the quarter ended June 30, 2017. The net loss attributable to JMP Group under generally accepted accounting principles, or GAAP, was $8.5 million, or $0.39 per di
August 1, 2017	8-K	Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant jmpllc201707318k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 31, 2017 JMP Group LLC (Exact Name of Registrant as Specified in Charter) Delaware 001-36802 47-1632931 (State or Other Jurisdiction of Incorporation) (Commiss
July 3, 2017	EX-10.15	Collateral Administration Agreement, dated as of June 29, 2017, by and among JMP Credit Advisors CLO IV Ltd., JMP Credit Advisors LLC and U.S. Bank National Association, as collateral administrator (incorporated by reference from Exhibit 10.15 to the Company’s Form 8-K filed on July 3, 2017). Exhibit 10.15 CONFORMED VERSION COLLATERAL ADMINISTRATION AGREEMENT THIS COLLATERAL ADMINISTRATION AGREEMENT, dated as of June 29, 2017 (as amended, modified or supplemented from time to time, the ?Agreement?), by and among JMP CREDIT ADVISORS CLO IV LTD., an exempted company incorporated with limited liability under the laws of the Cayman Islands (the ?Issuer?), JMP CREDIT ADVISORS LLC, a limited

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