0001142495-21-000079.txt : 20211118 0001142495-21-000079.hdr.sgml : 20211118 20211118180445 ACCESSION NUMBER: 0001142495-21-000079 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211117 FILED AS OF DATE: 20211118 DATE AS OF CHANGE: 20211118 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wedbush Capital, Inc. CENTRAL INDEX KEY: 0001130381 STATE OF INCORPORATION: CA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36802 FILM NUMBER: 211425818 BUSINESS ADDRESS: STREET 1: 1000 WILSHIRE BLVD CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 213-688-8080 MAIL ADDRESS: STREET 1: 1000 WILSHIRE BLVD CITY: LOS ANGELES STATE: CA ZIP: 90017 FORMER NAME: FORMER CONFORMED NAME: WEDBUSH, Inc. DATE OF NAME CHANGE: 20050125 FORMER NAME: FORMER CONFORMED NAME: E CAPITAL CORP DATE OF NAME CHANGE: 20001221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WEDBUSH SECURITIES INC CENTRAL INDEX KEY: 0001142495 STATE OF INCORPORATION: CA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36802 FILM NUMBER: 211425819 BUSINESS ADDRESS: STREET 1: 1000 WILSHIRE BLVD., SUITE 900 STREET 2: ATTN: COMPLIANCE DEPT. CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 213-688-8090 MAIL ADDRESS: STREET 1: 1000 WILSHIRE BLVD., SUITE 900 STREET 2: ATTN: COMPLIANCE DEPT. CITY: LOS ANGELES STATE: CA ZIP: 90017 FORMER NAME: FORMER CONFORMED NAME: WEDBUSH MORGAN SECURITIES INC DATE OF NAME CHANGE: 20010613 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: JMP GROUP LLC CENTRAL INDEX KEY: 0001302350 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 600 MONTGOMERY STREET STREET 2: SUITE 1100 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4158358900 MAIL ADDRESS: STREET 1: 600 MONTGOMERY STREET STREET 2: SUITE 1100 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 4/A 1 primary_doc.xml PRIMARY DOCUMENT X0306 4/A 2021-11-17 2021-11-18 1 0001302350 JMP GROUP LLC JMP 0001142495 WEDBUSH SECURITIES INC 1000 WILSHIRE BLVD., SUITE 900 ATTN: COMPLIANCE DEPT. LOS ANGELES CA 90017 0 0 1 1 Possible Member of 10% Group 0001130381 Wedbush Capital, Inc. 1000 WILSHIRE BLVD LOS ANGELES CA 90017 0 0 1 1 Possible Member of 10% Group Shares representing limited liability company interests in J 2021-11-17 4 D 0 2250000 7.5 A 0 D Shares representing limited liability company interests in J 2021-11-17 4 D 0 2250000 7.5 A 0 I Wedbush Capital may be deemed to have beneficial ownership of such shares as the sole equityhold Disposed of pursuant to the Agreement and Plan of Merger, dated as of September 8, 2021 (as amended from time to time, the "Merger Agreement"), among JMP Group LLC (the "Company"), Citizens Financial Group, Inc. ("Citizens") and Jolt Acquisition LLC, in exchange for $7.50 per share in cash, without interest. This Form 4 is being filed by the undersigned. Wedbush Securities Inc. directly held the securities of the Issuer subject to the Merger Agreement. Wedbush Capital may be deemed to have had beneficial ownership of such shares as the sole equityholder of Wedbush Securities Inc. /s/Gary Wedbush, President, Wedbush Securities 2021-11-18 /s/ Dan Simon, Director of Finance, Wedbush Capital 2021-11-18