SEC Form 4 · accession 0001209191-15-066157
Harvest Capital Credit Corp · HCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
JMP SECURITIES LLC
10% Owner
JMP GROUP LLC
10% Owner
JMP Group Inc.
10% Owner
JMP Holding LLC
10% Owner
JMP Investment Holdings LLC
10% Owner
Period of report
Aug 12, 2015
Accepted (ET)
Aug 14, 2015 · 6:56 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 StockF1,F2 | Aug 12, 2015 | P | 7,917 | $12.0645 | A | 700,649 | I | See footnote |
| Common StockF2 | Aug 13, 2015 | P | 100 | $12.12 | A | 700,749 | I | See footnote |
| Common StockF2 | Aug 14, 2015 | P | 600 | $12.15 | A | 701,349 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The range of prices for the shares of Common Stock is from $11.9750 to $12.15. The Reporting Persons undertake that they will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.
- F2695,691 of these securities are owned directly by JMP Investment Holdings LLC, which is a wholly owned subsidiary of JMP Group LLC. JMP Group LLC is the indirect beneficial owner of the reported securities. 5,658 of these securities are owned by JMP Securities LLC pursuant to the Issuer's Dividend Reinvestment Plan. JMP Securities LLC 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 the indirect beneficial owners of the reported securities.