SEC Form 4/A · accession 0001437749-18-005002
Harvest Capital Credit Corp · HCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
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
Mar 7, 2018
Accepted (ET)
Mar 19, 2018 · 8:45 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,F1,F3 | Mar 7, 2018 | P | 3,900 | $10.919 | A | 901,045 | I | See Footnote |
| Common StockF2,F3 | Mar 8, 2018 | P | 3,320 | $10.7919 | A | 904,365 | I | See Footnote |
| Common StockF2,F1,F3 | Mar 9, 2018 | P | 2,641 | $10.9427 | A | 907,006 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4A amends the Form 4 filing dated March 9, 2018 to correct the purchase price of the shares acquired on March 7, 2018 from $10.8967 to $10.919 and on March 9, 2018 from $10.8627 to $10.9427
- F2Reflects the acquisition of common stock pursuant to a Rule 10b5-1 Purchase Plan of JMP Investment Holdings LLC.
- F3901,348 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 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.