jmpllc20210610_8k.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): 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)

 

(IRS Employer

Identification No.)

 

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

(Address of principal executive offices, including Zip Code) 

 

(415) 835-8900

(Registrants 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 communications 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 communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

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

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

Shares representing limited liability company interests in JMP Group LLC

JMP

New York Stock Exchange

JMP Group Inc. 7.25% Senior Notes due 2027

JMPNL

The Nasdaq Global Market

JMP Group LLC 6.875% Senior Notes due 2029

JMPNZ

The Nasdaq Global Market

 

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

 

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 10, 2021, 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 19,852,493 at the record date of April 20, 2021. At the Annual Meeting, the shareholders (i) elected the nine nominees for the board of directors (which directors shall serve until the next annual meeting of shareholders); and (ii) ratified the appointment of Marcum LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021.

 

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

    12,295,111     0     30,578     2,362,213  

Craig R. Johnson

    12,186,918     0     138,771     2,362,213  

Carter D. Mack

    12,182,118     0     143,571     2,362,213  

Mark L. Lehmann

    12,283,967     0     41,722     2,362,213  

Glenn H. Tongue

    12,222,539     0     103,150     2,362,213  

Kenneth M. Karmin

    12,223,877     0     101,812     2,362,213  

H. Mark Lunenburg

    12,269,128     0     56,561     2,362,213  

Staci A. Slaughter

    12,314,219     0     11,470     2,362,213  

Jonathan M. Orszag

    12,164,165     0     161,524     2,362,213  

 

The following matter was approved by the votes indicated:

 

Proposal 2.

Ratification of the appointment of Marcum LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021.

 

For

   

Against

   

Abstain

   

Broker Non-votes

14,679,845

   

885

   

7,172

   

*

 

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

* Not applicable

 

 

 

SIGNATURES

 

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 10, 2021

By:

/s/ Walter Conroy

 
   

Walter Conroy

 
   

Chief Legal Officer and Secretary