SEC Form 4 · accession 0001437749-18-008396
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
May 1, 2018
Accepted (ET)
May 2, 2018 · 5:18 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 | May 1, 2018 | J | 5,658 | $10.24 | A | 967,968 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1JMP Investment Holdings LLC purchased 5,658 shares of the Issuer's Common Stock from JMP Securities LLC on May 1, 2018. 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.
- F2These 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.