jmp20130617_8k8ka.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 17, 2013

 

 

JMP Group Inc.

 

(Exact name of registrant as specified in its charter)

Commission File Number: 001-33448

Delaware 

(State or other jurisdiction of

incorporation)

20-1450327

(IRS Employer

Identification No.)

600 Montgomery Street, Suite 1100 

San Francisco, CA 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 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))

 

 

 
 

 

 

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

 

On June 17, 2013, JMP Group Inc. (the “Company”) held its annual meeting of stockholders (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 22,780,052 at the record date of May 9, 2013. At the Annual Meeting, a majority of the total outstanding shares (i) elected all nine nominees for the board of directors (which directors shall serve until the next annual meeting of stockholders); (ii) approved the Company’s executive compensation; and (iii) ratified the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2013.

 

 

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

 

15,832,975

 

0

 

303,648

 

4,803,063

Craig R. Johnson

 

15,595,295

 

0

 

541,328

 

4,803,063

Mark L. Lehmann

 

13,295,825

 

0

 

2,840,798

 

4,803,063

Carter D. Mack

 

15,595,396

 

0

 

541,227

 

4,803,063

Glenn H. Tongue

 

15,831,057

 

0

 

305,566

 

4,803,063

Kenneth M. Karmin

 

15,810,404

 

0

 

326,219

 

4,803,063

H. Mark Lunenburg

 

15,692,207

 

0

 

444,416

 

4,803,063

David M. DiPietro

 

15,831,065

 

0

 

305,558

 

4,803,063

Jonathan M. Orszag

 

15,907,271

 

0

 

229,352

 

4,803,063

 

The following matters were approved by the votes indicated:

 

Proposal 2.

Advisory vote on executive compensation.

 

For

 

Against

 

Abstain

 

Broker Non-votes

15,685,324

 

183,504

 

267,795

 

4,803,063

 

 

Proposal 3.

Ratification of the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2013.

 

For

 

Against

 

Abstain

 

Broker Non-votes

20,899,865

 

37,808

 

2,013

 

*

 

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

* 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 INC.  
       
        
Date: June 17, 2013 By: /s/ Scott Solomon  
    Scott Solomon  
   

Chief Legal Officer and Secretary