SEC Form 4 · accession 0001398113-16-000008
Harvest Capital Credit Corp · HCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph A Jolson
Director
Period of report
Jan 12, 2016
Accepted (ET)
Jan 13, 2016 · 5:31 pm EST
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,F3 | Jan 12, 2016 | P | 14,696 | $11.3025 | A | 427,642 | I | By Jolson 1991 Trust |
| Common StockF1,F4,F3 | Jan 13, 2016 | P | 1,545 | $11.454 | A | 429,187 | I | By Jolson 1991 Trust |
| Common Stock | holding | — | — | — | 20,000 | D | ||
| Common Stock | holding | — | — | — | 10,000 | I | By Daughter | |
| Common StockF5 | holding | — | — | — | 35,768 | I | By Foundation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the acquisition of common shares pursuant to the Rule 10b5-1 purchase plan of the Reporting Person.
- F2The price reflects the weighted average purchase price. The purchase prices for these transactions ranged from 11.18 to 11.49. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased.
- F3Reflects shares of common stock held by the Joseph A. Jolson 1991 Trust, of which Mr. Jolson is the trustee.
- F4The price reflects the weighted average purchase price. The purchase prices for these transactions ranged from 11.28 to 11.38. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased.
- F5Reflects shares of common stock held by The Jolson Family Foundation, of which Mr. Jolson is President and Treasurer. Mr. Jolson disclaims beneficial ownership of the shares.