SEC Form 4 · accession 0001437749-16-041415
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
Nov 4, 2016
Accepted (ET)
Nov 8, 2016 · 5:22 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 | Nov 4, 2016 | P | 3,956 | $12.05 | A | 737,987 | I | See Footnote |
| Common StockF1,F2 | Nov 7, 2016 | P | 250 | $12.05 | A | 738,237 | I | See Footnote |
| Common StockF1,F3,F2 | Nov 8, 2016 | P | 22,579 | $12.0269 | A | 760,816 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the acquisition of common stock pursuant to a Rule 10b5-1 Purchase Plan of JMP Investment Holdings LLC.
- F2755,158 of these securities are owned 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 is the indirect beneficial owner of the reported securities.
- F3The range of prices for the common shares is from 11.9925 to 12.05. The Reporting Person undertakes that he 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.