SEC FORM 3/A SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
WEDBUSH SECURITIES INC

(Last) (First) (Middle)
1000 WILSHIRE BLVD., SUITE 900
ATTN: COMPLIANCE DEPT.

(Street)
LOS ANGELES CA 90017

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/05/2020
3. Issuer Name and Ticker or Trading Symbol
JMP GROUP LLC [ JMP ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) X Other (specify below)
Possible Member of 10% Group
5. If Amendment, Date of Original Filed (Month/Day/Year)
11/10/2020
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Shares representing limited liability company interests in J 1,965,250(1) D
Shares representing limited liability company interests in J 1,965,250(1) I Wedbush Capital may be deemed to have beneficial ownership of such shares as the sole equityhold(2)(3)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
WEDBUSH SECURITIES INC

(Last) (First) (Middle)
1000 WILSHIRE BLVD., SUITE 900
ATTN: COMPLIANCE DEPT.

(Street)
LOS ANGELES CA 90017

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Wedbush Capital, Inc.

(Last) (First) (Middle)
1000 WILSHIRE BLVD

(Street)
LOS ANGELES CA 90017

(City) (State) (Zip)
Explanation of Responses:
1. Securities listed in Table I intended as passive investment by Reporting Person
2. This Form 3 is being filed by the undersigned. Wedbush Securities Inc. directly holds the securities of the Issuer.
3. For purposes of Section 16, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
Remarks:
The Form 3 previously filed with the Commission on November 10, 2020, is hereby amended to add Wedbush Capital as Reporting Persons and indirect beneficial owners of the reported securities. All subsequent Forms 4 are also hereby deemed amended.
/s/ Gary Wedbush, President 02/11/2021
/s/ Dan Simon, Director of Finance 02/11/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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