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

On November 12, 2021, JMP Group LLC (the "Company") held its special meeting of the shareholders (the "Special Meeting"). The purpose of the Special Meeting was for its shareholders to consider and vote on the proposals identified in the Company's definitive proxy statement on Schedule 14A, filed with the U.S. Securities and Exchange Commission on October 15, 2021 (the "Definitive Proxy Statement"), in connection with the previously announced Agreement and Plan of Merger, dated as of September 8, 2021 (as it may be amended from time to time, the "merger agreement"), among Citizens Financial Group, Inc. ("Citizens"), Jolt Acquisition LLC ("Merger Sub"), a Delaware limited liability company and a wholly-owned subsidiary of Citizens and the Company (the "merger").

As of the close of business on October 11, 2021, the record date for the Special Meeting, there were 19,958,495 common shares of the Company issued and outstanding. At the Special Meeting, a total of 13,483,059 common shares, representing approximately 68% of the Company's common shares issued and outstanding, were present in person or by proxy, constituting a quorum to conduct business.

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. To consider and vote on a proposal to adopt the merger agreement and


            thereby to approve the transactions contemplated by the merger
            agreement, including the merger.



   For     Against Abstain Broker Non-Votes

13,312,589 123,807 46,663        N/A

Proposal 2. To approve, by non-binding advisory vote, certain compensation


            arrangements for the Company's named executive officers in connection
            with the merger.



   For     Against Abstain Broker Non-Votes

13,293,084 187,903  2,072        N/A

Proposal 3. To approve the adjournment of the Special Meeting, if necessary, for any


            purpose, including to solicit additional proxies if there are not
            sufficient votes to adopt the merger agreement and thereby to approve
            the transactions contemplated by the merger agreement, including the
            merger, at the time of the Special Meeting.

            Not applicable as there were sufficient votes at the Special Meeting to
            approve Proposal 1.

Item 9.01 Financial Statements and Exhibits.





(d) Exhibits

Exhibit No. Description

   99.1       Press Release issued by the
            Company, dated November 12,
            2021.
    104     Cover Page Interactive Data File
            (embedded within the Inline XBRL
            document)

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