JMP CREDIT ADVISORS CLO IV LTD. Issuer, JMP CREDIT ADVISORS CLO IV LLC Co- Issuer, AND U.S. BANK NATIONAL ASSOCIATION Trustee INDENTURE Dated as of June 29, 2017 COLLATERALIZED LOAN OBLIGATIONSIndenture • July 3rd, 2017 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
B1 – Form of Transferor Certificate for Transfer of Rule 144A Global Notes or Certificated Notes to Regulation S Global Notes
AGREEMENT AND PLAN OF MERGER by and among CITIZENS FINANCIAL GROUP, INC, JOLT ACQUISITION LLC and JMP GROUP LLC Dated as of September 8, 2021Merger Agreement • September 10th, 2021 • JMP Group LLC • Security brokers, dealers & flotation companies • Delaware
This AGREEMENT AND PLAN OF MERGER (this “Agreement”), dated as of September 8, 2021, is by and among Citizens Financial Group, Inc., a Delaware corporation (“Parent”), Jolt Acquisition LLC, a Delaware limited liability company and a wholly-owned Subsidiary of Parent (“Merger Sub”), and JMP Group LLC, a Delaware limited liability company (the “Company,” with the Company, Parent and Merger Sub sometimes being hereinafter referred to individually as a “Party” and collectively as the “Parties”).
JMP GROUP LLC AND U.S. BANK NATIONAL ASSOCIATION, as Trustee INDENTURE Dated as of September 26, 2019 Debt SecuritiesIndenture • September 26th, 2019 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
INDENTURE (the “Indenture”), dated as of September 26, 2019, between JMP GROUP LLC, a limited liability company existing under the laws of the State of Delaware (the “Company”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association, as trustee (the “Trustee”).
JMP GROUP LLC AND U.S. BANK NATIONAL ASSOCIATION, as Trustee INDENTURE Dated as of [ ], 2019 Debt SecuritiesIndenture • September 19th, 2019 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
INDENTURE (the “Indenture”), dated as of [ ], 2019, between JMP GROUP LLC, a limited liability company existing under the laws of the State of Delaware (the “Company”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association, as trustee (the “Trustee”).
AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF JMP Group LLCLimited Liability Company Agreement • January 2nd, 2015 • JMP Group LLC • Security brokers, dealers & flotation companies • Delaware
This Amended and Restated Limited Liability Company Agreement (together with the schedules and exhibits attached hereto, and as amended, restated, supplemented or otherwise modified from time to time, this “Agreement”) of JMP Group LLC, a Delaware limited liability company (the “Company”), effective immediately prior to the Effective Time (as defined in Section 1.1 hereto), is entered into by JMP Group Inc., a Delaware corporation (“JMP Group Inc.”), and each other Person (as defined in Section 1.1 hereto) who becomes a Shareholder (as defined in Section 1.1 hereto) as provided herein. Capitalized terms used in this Agreement and not otherwise defined have the meanings set forth in Section 1.1 hereto.
UNDERWRITING AGREEMENTUnderwriting Agreement • September 20th, 2019 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
JMP Group LLC, a Delaware limited liability company (the “Company”), proposes to issue and sell to the several underwriters named in Schedule A attached hereto (collectively, the “Underwriters”) $36,000,000 aggregate principal amount of the Company’s 6.875% Senior Notes due 2029 (the “Notes”) in accordance with the terms and conditions of this Underwriting Agreement (this “Agreement”). UBS Securities LLC (“UBS”) and Morgan Stanley & Co. LLC (“Morgan Stanley”) agreed to act as Representatives of the several Underwriters (in such capacity, the “Representatives”) in connection with the offering and sale of the Notes. The Notes will be issued under an indenture, dated as of September 26, 2019, between the Company and U.S. Bank National Association (the “Trustee”), as supplemented by the first supplemental indenture, dated as of September 26, 2019, between the Company and the Trustee (collectively with the indenture, the “Indenture”).
AMENDMENT NUMBER EIGHT TO SECOND AMENDED AND RESTATED CREDIT AGREEMENTCredit Agreement • January 4th, 2021 • JMP Group LLC • Security brokers, dealers & flotation companies • California
THIS SECOND AMENDED AND RESTATED CREDIT AGREEMENT, dated as of April 30, 2014, is entered into by and among JMP GROUP LLC, a Delaware limited liability company (“Borrower”), the lenders identified on the signature pages hereof (such lenders, together with their respective successors and assigns, are referred to hereinafter each individually as a “Lender” and collectively as the “Lenders”), and CITY NATIONAL BANK, a national banking association (“CNB”), as administrative agent for the Lenders and the Bank Product Providers (in such capacity, together with its successors and assigns in such capacity, “Agent”) and as lead arranger.
AMENDMENT NUMBER TEN TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTERevolving Note and Cash Subordination Agreement • November 12th, 2019 • JMP Group LLC • Security brokers, dealers & flotation companies • California
This AMENDMENT NUMBER TEN TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE (this “Amendment”), effective as of June 6, 2019, is entered into by and between JMP SECURITIES LLC, a Delaware limited liability company (“Broker/Dealer”), and CITY NATIONAL BANK, a national banking association (“Lender”), and in light of the following:
CREDIT AGREEMENT by and among BNP PARIBAS, as a Lender, the other Lenders party hereto, JMP CREDIT ADVISORS CLO V LTD., as Borrower, BNP PARIBAS, as Administrative Agent, JMP CREDIT ADVISORS LLC, as Collateral Manager, and JMP INVESTMENT HOLDINGS LLC,...Credit Agreement • November 9th, 2017 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
THIS CREDIT AGREEMENT, dated as of [July 31], 2017 (as amended, restated, extended, supplemented or otherwise modified in writing from time to time, this “Agreement”), by and among BNP Paribas and each of the other lenders from time to time party hereto (the “Lenders”), JMP Credit Advisors CLO V Ltd. (the “Borrower”), BNP Paribas, as administrative agent (the “Administrative Agent”), JMP Credit Advisors LLC (the “Collateral Manager”) and JMP Investment Holdings LLC (the “Preferred Investor”).
FIRST SUPPLEMENTAL INDENTURE Dated as of September 26, 2019 To INDENTURE Dated as of September 26, 2019 6.875% SENIOR NOTES DUE 2029 JMP GROUP LLC, as the Company, and U.S. BANK NATIONAL ASSOCIATION, as TrusteeSupplemental Indenture • September 26th, 2019 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
FIRST SUPPLEMENTAL INDENTURE (this “First Supplemental Indenture”), dated as of September 26, 2019, between JMP Group LLC, a limited liability company existing under the laws of the State of Delaware (the “Company”), and U.S. Bank National Association, a national banking association, as trustee (the “Trustee”).
UNDERWRITING AGREEMENTUnderwriting Agreement • November 22nd, 2017 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
JMP Group Inc., a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule A attached hereto (collectively, the “Underwriters”) $50,000,000 aggregate principal amount of the Company’s 7.25% Senior Notes due 2027 (the “Firm Offered Notes”) in accordance with the terms and conditions of this Underwriting Agreement (this “Agreement”). In addition, the Company has granted to the Underwriters an option to purchase up to an additional $7,500,000 aggregate principal amount of the Company’s 7.25% Senior Notes due 2027 (the “Optional Notes”), all as provided in Section 2 hereof. The Firm Offered Notes and, if and to the extent such option is exercised, the Optional Notes, together with the Guarantee described below, are collectively called the “Notes.” UBS Securities LLC (“UBS”) and Morgan Stanley & Co. LLC (“Morgan Stanley”) agreed to act as Representatives of the several Underwriters (in such capacity, the “Representatives”) in connection
COLLATERAL ADMINISTRATION AGREEMENTCollateral Administration Agreement • July 3rd, 2017 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
THIS COLLATERAL ADMINISTRATION AGREEMENT, dated as of June 29, 2017 (as amended, modified or supplemented from time to time, the “Agreement”), by and among JMP CREDIT ADVISORS CLO IV LTD., an exempted company incorporated with limited liability under the laws of the Cayman Islands (the “Issuer”), JMP CREDIT ADVISORS LLC, a limited liability company organized under the laws of the State of Delaware (the “Collateral Manager” and its permitted successors and assigns), and U.S. BANK NATIONAL ASSOCIATION, a national banking association, as collateral administrator (the “Collateral Administrator” and its permitted successors and assigns).
AMENDMENT NUMBER SIX TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTERevolving Note and Cash Subordination Agreement • August 4th, 2015 • JMP Group LLC • Security brokers, dealers & flotation companies • California
This AMENDMENT NUMBER SIX TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE (this “Amendment”), effective as of May 6, 2015, is entered into by and between JMP SECURITIES LLC, a Delaware limited liability company (“Broker/Dealer”), and CITY NATIONAL BANK, a national banking association (“Lender”), and in light of the following:
AMENDMENT NUMBER TWELVE TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTERevolving Note and Cash Subordination Agreement • August 11th, 2021 • JMP Group LLC • Security brokers, dealers & flotation companies • California
This AMENDMENT NUMBER TWELVE TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE (this “Amendment”), effective as of June 29, 2021, is entered into by and between JMP SECURITIES LLC, a Delaware limited liability company (“Broker/Dealer”), and CITY NATIONAL BANK, a national banking association (“Lender”), and in light of the following:
AMENDMENT NUMBER NINE AND WAIVER TO SECOND AMENDED AND RESTATED CREDIT AGREEMENTCredit Agreement • August 11th, 2021 • JMP Group LLC • Security brokers, dealers & flotation companies • California
This AMENDMENT NUMBER NINE AND WAIVER TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of August 4, 2021, is entered into by and between JMP HOLDING LLC, formerly known as JMP Group LLC, a Delaware limited liability company (“Borrower”), the lenders from time to time party to the below-defined Credit Agreement (together with their respective successors and assigns, each a “Lender” and collectively, the “Lenders”) and CITY NATIONAL BANK, a national banking association (“CNB”), as the administrative agent for the Lenders, (in such capacity, together with its successors and assigns in such capacity, the “Agent”) , and in light of the following:
Third SUPPLEMENTAL INDENTURE Dated as of October 15, 2014 To INDENTURE Dated as of January 24, 2013, As Amended on January 25, 2013, and January 29, 2014 Among JMP GROUP INC. As the Company, JMP GROUP LLC and JMP INVESTMENT HOLDINGS LLC As Guarantors,...Third Supplemental Indenture • January 2nd, 2015 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”), dated as of October 15 2014, among JMP Group Inc., a Delaware corporation (the “Company”), JMP Group LLC, a Delaware limited liability company (“JMP LLC”), and JMP Investment Holdings LLC, a Delaware limited liability company (together with JMP LLC, the “Guarantors”), and U.S. Bank National Association, a national banking association, as trustee (the “Trustee”).
LEASE AGREEMENT BETWEENLease Agreement • November 9th, 2018 • JMP Group LLC • Security brokers, dealers & flotation companies • California
Landlord’s Notice Address and Address for Payment of Rent: TRANSAMERICA PYRAMID PROPERTIES, LLC c/o Property Management Office 600 Montgomery Street 2nd Floor San Francisco, CA 94111 Attention: General Manager with a copy to: AEGON USA Realty Advisors, LLC. 4333 Edgewood Road NE Cedar Rapids, IA 52499-5555 Attention: General Counsel
JMP GROUP LLC A Delaware Limited Liability Company LIMITED LIABILITY AGREEMENTLimited Liability Agreement • October 16th, 2014 • JMP Group LLC • Security brokers, dealers & flotation companies • Delaware
THIS LIMITED LIABILITY AGREEMENT (this “Agreement”) is made effective as of August 19, 2014, by the party listed on the signature page hereof (the “Member”).
SECOND AMENDMENT TO CREDIT AGREEMENTCredit Agreement • June 21st, 2018 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
THIS SECOND AMENDMENT TO CREDIT AGREEMENT, dated as of June 21, 2018 (this “Second Amendment”), by and among BNP Paribas and each of the other lenders from time to time a party hereto, (the “Lenders”), JMP Credit Advisors CLO V Ltd. (the “Borrower”), BNP Paribas, as administrative agent (the “Administrative Agent”), JMP Credit Advisors LLC (the “Collateral Manager”), JMP Investment Holdings LLC (the “Preferred Investor”).
AMENDMENT NUMBER FOUR TO SECOND AMENDED AND RESTATED CREDIT AGREEMENTCredit Agreement • August 7th, 2018 • JMP Group LLC • Security brokers, dealers & flotation companies • California
This AMENDMENT NUMBER FOUR TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of August 6, 2018 is entered into by and between JMP HOLDING LLC, formerly known as JMP Group LLC, a Delaware limited liability company (“Borrower”), the lenders from time to time party to the below-defined Credit Agreement (together with their respective successors and assigns, each a “Lender” and collectively, the “Lenders”) and CITY NATIONAL BANK, a national banking association (“CNB”), as the administrative agent for the Lenders, (in such capacity, together with its successors and assigns in such capacity, the “Agent”) , and in light of the following:
PURCHASE AND SALE AGREEMENT BY AND AMONG LOGAN RIDGE FINANCE CORPORATION, JMP CAPITAL LLC, JMP GROUP INC., PORTMAN RIDGE FINANCE CORPORATION, MEDALIST PARTNERS HARVEST MASTER FUND, LTD. AND ALTERNATIVE CREDIT INCOME FUND DATED AS OF OCTOBER 22, 2021Purchase and Sale Agreement • October 26th, 2021 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
THIS PURCHASE AND SALE AGREEMENT (this “Agreement”), dated as of October 22, 2021, is made by and among Logan Ridge Finance Corporation, a Maryland corporation (“LRF”), JMP Capital LLC, a Delaware limited liability company (“JMP Capital”), JMP Group Inc., a Delaware corporation (“JMP Group” and, together with JMP Capital, “Sellers”), Portman Ridge Finance, a Delaware corporation (“PTMN”), Medalist Partners Harvest Master Fund, Ltd., a Cayman Islands corporation (“Medalist”) and Alternative Credit Income Fund, a Delaware statutory trust (“ACIF,” and together with LRF and PTMN, the “Buyers”). The parties hereto may be referred to individually herein as a “Party” and collectively as the “Parties”.
FOURTH SUPPLEMENTAL INDENTURE Dated as of November 28, 2017 To INDENTURE Dated as of January 24, 2013 7.25% SENIOR NOTES DUE 2027 JMP GROUP INC., As the Company, JMP GROUP LLC and JMP INVESTMENT HOLDINGS LLC, As Guarantors, and U.S. BANK NATIONAL...Fourth Supplemental Indenture • November 28th, 2017 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
FOURTH SUPPLEMENTAL INDENTURE (this “Fourth Supplemental Indenture”), dated as of November 28, 2017, among JMP Group Inc., a Delaware corporation (the “Company”), JMP Group LLC, a Delaware limited liability company, and JMP Investment Holdings LLC, a Delaware limited liability company (together with JMP Group LLC, the “Guarantors”), and U.S. Bank National Association, a national banking association, as trustee (the “Trustee”).
FIRST AMENDMENT TO CREDIT AGREEMENTCredit Agreement • May 10th, 2018 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
THIS FIRST AMENDMENT TO CREDIT AGREEMENT, dated as of May 2, 2018 (this "First Amendment"), by and among BNP Paribas and each of the other lenders from time to time a party hereto, (the "Lenders"), JMP Credit Advisors CLO V Ltd. (the "Borrower"), BNP Paribas, as administrative agent (the "Administrative Agent"), JMP Credit Advisors LLC (the "Collateral Manager"), JMP Investment Holdings LLC (the "Preferred Investor").
PROMISSORY NOTEPromissory Note • October 16th, 2014 • JMP Group LLC • Security brokers, dealers & flotation companies
FOR VALUE RECEIVED, JMP GROUP LLC, a Delaware limited liability company (the “Company”), hereby promises to pay to JMP GROUP INC., a Delaware corporation (the “Lender”) or its registered assigns pursuant to the terms of this promissory note (this “Note”) the principal sum of [________________________________________] Dollars ($[__________]), together with interest payable thereon.
THIRD AMENDMENT TO OFFICE LEASEOffice Lease • November 9th, 2018 • JMP Group LLC • Security brokers, dealers & flotation companies
THIS THIRD AMENDMENT TO OFFICE LEASE (this “Amendment”), dated as of October 31, 2018 (the “Effective Date”), is entered into by and between TRANSAMERICA PYRAMID PROPERTIES, LLC, an Iowa limited liability company (“Landlord”), and JMP GROUP INC., a Delaware corporation (“Tenant”). Capitalized terms used in this Amendment without definition shall have the meaning ascribed to such terms in the Lease (as defined below).
AMENDMENT NUMBER TWO TO SECOND AMENDED AND RESTATED CREDIT AGREEMENTCredit Agreement • November 1st, 2016 • JMP Group LLC • Security brokers, dealers & flotation companies • California
This AMENDMENT NUMBER TWO TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of August 24, 2016 is entered into by and between JMP HOLDING LLC, formerly known as JMP Group LLC, a Delaware limited liability company (“Borrower”), and CITY NATIONAL BANK, a national banking association (“Lender”), and in light of the following:
REVOLVING NOTE AND CASH SUBORDINATION AGREEMENTRevolving Note and Cash Subordination Agreement • October 29th, 2014 • JMP Group LLC • Security brokers, dealers & flotation companies • California
THIS AGREEMENT is entered into this 8th day of April 2011, between City National Bank, a national banking association (the “Lender”) and JMP Securities LLC, a Delaware limited liability company (the “Broker/Dealer”). This Agreement shall not be effective or deemed to constitute a satisfactory subordination agreement under Appendix D to Rule 15c3-1 under the Securities Exchange Act of 1934, as amended (the “Act” or “SEA”), unless and until the Financial Industry Regulatory Authority (“FINRA”) has found the Agreement acceptable as to form and content.
AMENDMENT NUMBER SIX TO SECOND AMENDED AND RESTATED CREDIT AGREEMENTCredit Agreement • September 6th, 2019 • JMP Group LLC • Security brokers, dealers & flotation companies • California
This AMENDMENT NUMBER SIX TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of September 5, 2019, is entered into by and between JMP HOLDING LLC, formerly known as JMP Group LLC, a Delaware limited liability company (“Borrower”), the lenders from time to time party to the below-defined Credit Agreement (together with their respective successors and assigns, each a “Lender” and collectively, the “Lenders”) and CITY NATIONAL BANK, a national banking association (“CNB”), as the administrative agent for the Lenders, (in such capacity, together with its successors and assigns in such capacity, the “Agent”) , and in light of the following:
AMENDMENT NUMBER NINE TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTERevolving Note and Cash Subordination Agreement • August 7th, 2018 • JMP Group LLC • Security brokers, dealers & flotation companies • California
This AMENDMENT NUMBER NINE TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE (this “Amendment”), effective as of June 6, 2018, is entered into by and between JMP SECURITIES LLC, a Delaware limited liability company (“Broker/Dealer”), and CITY NATIONAL BANK, a national banking association (“Lender”), and in light of the following:
FIRST AMENDMENT TO CREDIT AGREEMENTCredit Agreement • May 3rd, 2018 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
THIS FIRST AMENDMENT TO CREDIT AGREEMENT, dated as of May 2, 2018 (this "First Amendment"), by and among BNP Paribas and each of the other lenders from time to time a party hereto, (the "Lenders"), JMP Credit Advisors CLO V Ltd. (the "Borrower"), BNP Paribas, as administrative agent (the "Administrative Agent"), JMP Credit Advisors LLC (the "Collateral Manager"), JMP Investment Holdings LLC (the "Preferred Investor").
AMENDMENT NUMBER SEVEN TO SECOND AMENDED AND RESTATED CREDIT AGREEMENTCredit Agreement • August 11th, 2020 • JMP Group LLC • Security brokers, dealers & flotation companies • California
This AMENDMENT NUMBER SEVEN TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT (this “Amendment”), dated as of July 16, 2020, is entered into by and between JMP HOLDING LLC, formerly known as JMP Group LLC, a Delaware limited liability company (“Borrower”), the lenders from time to time party to the below-defined Credit Agreement (together with their respective successors and assigns, each a “Lender” and collectively, the “Lenders”) and CITY NATIONAL BANK, a national banking association (“CNB”), as the administrative agent for the Lenders, (in such capacity, together with its successors and assigns in such capacity, the “Agent”) , and in light of the following:
AMENDMENT NUMBER ELEVEN TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTERevolving Note and Cash Subordination Agreement • August 11th, 2020 • JMP Group LLC • Security brokers, dealers & flotation companies • California
This AMENDMENT NUMBER ELEVEN TO REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT & REVOLVING NOTE (this “Amendment”), effective as of June 29, 2020, is entered into by and between JMP SECURITIES LLC, a Delaware limited liability company (“Broker/Dealer”), and CITY NATIONAL BANK, a national banking association (“Lender”), and in light of the following:
JMP GROUP LLC INDEMNIFICATION AGREEMENTIndemnification Agreement • November 10th, 2020 • JMP Group LLC • Security brokers, dealers & flotation companies • Delaware
This Indemnification Agreement (“Agreement”) is made and entered into as of ________ by and between JMP Group LLC, a Delaware limited liability company (the “Company”), and ___________________ (“Indemnitee”).
CREDIT AGREEMENT by and among BNP PARIBAS, as a Lender, the other Lenders party hereto, JMP CREDIT ADVISORS LONG-TERM WAREHOUSE LTD., as Borrower, EACH CLO SUBSIDIARY FROM TIME TO TIME PARTY HERETO, as CLO Subsidiaries, BNP PARIBAS, as Administrative...Credit Agreement • October 12th, 2018 • JMP Group LLC • Security brokers, dealers & flotation companies • New York
THIS CREDIT AGREEMENT, dated as of October 11, 2018 (as amended, restated, extended, supplemented or otherwise modified in writing from time to time, this “Agreement”), by and among BNP Paribas and each of the other lenders from time to time party hereto (the “Lenders”), JMP Credit Advisors Long-Term Warehouse Ltd. (the “Borrower”), each of the CLO Subsidiaries from time to time party hereto, BNP Paribas, as administrative agent (the “Administrative Agent”), JMP Credit Advisors LLC (the “Collateral Manager”) and JMP Capital LLC (the “Preferred Investor”).
TRANSITION & RELEASE AGREEMENTTransition & Release Agreement • November 10th, 2020 • JMP Group LLC • Security brokers, dealers & flotation companies • California
This is an agreement between you, Carter D. Mack (hereinafter “you” or “your”) and JMP Group LLC, a Delaware limited liability company, and JMP Securities LLC, a Delaware limited liability company, on behalf of themselves, their present and former parent companies, subsidiaries and affiliated entities, and their respective predecessors, successors, assigns, shareholders, officers, directors, executive and other committee members, managers, employees, agents, attorneys, insurers and others acting on their behalf, and each of their respective predecessors, successors and assigns (hereinafter collectively referred to as “JMP,” “we,” “us” or the “Company”). This agreement will set forth the terms of your transition and anticipated departure from JMP (other than your continuing role as a director of JMP Group LLC) in addition to providing you certain consideration in exchange for your release of claims described below.
