jmpllc20170605_8k.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): June 5, 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.R.S. Employer

Identification No.)

 

 

600 Montgomery Street, Suite 1100, San Francisco, California 94111

(Address of Principal Executive Offices, including zip code)

 

415-835-8900

(Registrant’s Telephone Number, Including Area Code)

(Former Name or Former Address, if Changed Since Last Report) 

 


 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

 

☐

Written communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

     

 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

     

 

Pre-commencement communication pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

     

 

Pre-commencement communication pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

  

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

Emerging growth company ☐

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 
 

 

  

Item 5.07. Submission of Matters to a Vote of Security Holders.

 

On June 5, 2017, JMP Group LLC (the “Company”) held its annual meeting of the shareholders (the “Annual Meeting”). The proxy statement and solicitation pertaining to the Annual Meeting were previously filed with the Securities and Exchange Commission. Shares eligible to vote were 21,673,824 at the record date of April 14, 2017. At the Annual Meeting, the shareholders (i) elected all nine nominees for the board of directors (which directors shall serve until the next annual meeting of shareholders); (ii) approved the Company’s executive compensation; (ii) recommended a preferred frequency for the advisory vote on executive compensation of once every three (3) years; and (iv) ratified the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2017. 

 

The number of votes cast for or against, and the number of withheld and total broker non-votes with respect to each matter voted upon, as applicable, are set forth below:

 

Proposal 1.

Election of directors.

 

Nominee

 

For

 

Against

 

Withheld

 

Broker Non-Votes

 

 

     

 

 

 

 

 

 

Joseph A. Jolson

 

12,812,960

 

0

 

190,577

 

6,096,719

Craig R. Johnson

 

12,805,909

 

0

 

197,628

 

6,096,719

Carter D. Mack

 

12,812,960

 

0

 

190,577

 

6,096,719

Mark L. Lehmann

 

12,747,030

 

0

 

256,507

 

6,096,719

Glenn H. Tongue

 

12,856,697

 

0

 

146,840

 

6,096,719

Kenneth M. Karmin

 

12,849,846

 

0

 

153,691

 

6,096,719

H. Mark Lunenburg

 

12,857,297

 

0

 

146,240

 

6,096,719

David M. DiPietro

 

12,857,797

 

0

 

145,740

 

6,096,719

Jonathan M. Orszag

 

12,857,397

 

0

 

146,140

 

6,096,719

 

The following matters were approved by the votes indicated:

 

Proposal 2.

Advisory vote on executive compensation.

 

For

 

Against

 

Abstain

 

Broker Non-votes

12,760,272

 

226,227

 

17,038

 

6,096,719

 

Proposal 3.

Recommend frequency of advisory vote on executive compensation.

 

1 Year

 

2 Years

 

3 Years

 

Abstain

5,180,113

 

13,764

 

7,797,504

 

12,156

 

 

Proposal 4.

Ratification of the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2017.

 

For

 

Against

 

Abstain

 

Broker Non-votes

18,781,957

 

211,589

 

106,710

 

*

 

------------------------

* Not applicable

 

 
 

 

  

Signature(s)

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

JMP GROUP LLC

 

 

 

 

 

 

 

 

 

                 Date: June 5, 2017

By:

/s/ Walter Conroy

 

 

 

Walter Conroy

 

 

 

Chief Legal Officer