Securities Registration (section 12(b)) (8-a12b)
September 26 2019 - 12:58PM
Edgar (US Regulatory)
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
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47-1632931
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(State or other jurisdiction of incorporation or organization)
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(I.R.S. Employer Identification No.)
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600 Montgomery Street, Suite 1100
San Francisco, CA
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94111
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(Address of principal executive offices)
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(Zip Code)
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Securities to be registered pursuant to Section 12(b) of the Act:
Title of Each Class to be so Registered
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Name of Each Exchange on Which Each
Class is to be so Registered
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6.875% Senior Notes due 2029
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New York Stock Exchange
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If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c) or (e), check the following box. ☑
If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d) or (e), check the following box. ☐
If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box. ☐
Securities Act registration statement or Regulation A offering statement file number to which this form relates: 333-233389, 333-233855
Securities to be registered pursuant to Section 12(g) of the Act: None
INFORMATION REQUIRED IN REGISTRATION STATEMENT
JMP Group LLC (the “Registrant”) has filed with the Securities and Exchange Commission (the “Commission”) pursuant to Rule 424(b) under the Securities Act of 1933, as amended, a prospectus, dated September 19, 2019 (the “Prospectus”). The Prospectus relates to the offering of $36.0 million aggregate principal amount of 6.875% Senior Notes due 2029 (the “Notes”) to be issued by the Registrant. The Prospectus forms a part of the Registrant’s Registration Statement on Form S-1, as amended (File No. 333-233389), previously filed with the Commission and declared effective on September 19, 2019, and the Registrant’s Registration Statement on Form S-1 (File No. 333-233855) filed pursuant to Rule 462(b) under the Securities Act.
Item 1. Description of Registrant’s Securities to be Registered.
The description under the heading “Description of Notes” in the Prospectus is incorporated by reference herein. Copies of such description will be filed with The New York Stock Exchange.
Item 2. Exhibits.
SIGNATURES
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the Registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized.
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JMP GROUP LLC
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Date: September 26, 2019
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By:
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/s/ Walter Conroy
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Walter Conroy
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Chief Legal Officer
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