SEC Form 4 · accession 0001181431-15-004692
Harvest Capital Credit Corp · HCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Mar 12, 2015
Accepted (ET)
Mar 16, 2015 · 8:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001559909
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Mar 12, 2015 | J | 7,930 | $12.60 | D | 681,774 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the net amount of shares granted to individuals related to their activities with HCAP. The shares vest on December 31, 2017.
- F2These securities are owned directly by JMP Securities LLC, which is a wholly owned subsidiary of JMP Holding LLC, which is a wholly owned subsidiary of JMP Group Inc., which is a wholly owned subsidiary of JMP Group LLC. JMP Group LLC, JMP Group Inc. and JMP Holding LLC are indirect beneficial owners of the reported securities. JMP Group LLC is the successor issuer to JMP Group, Inc. pursuant to Rule 12g-3(a) under the Securities Exchange Act of 1934, as amended.