SEC Form 4/A · accession 0001559909-15-000057
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 owner
Joseph A Jolson
Director
Period of report
Dec 15, 2015
Accepted (ET)
Dec 23, 2015 · 4:42 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,F4 | Dec 15, 2015 | P | 12,645 | $11.3268 | A | 344,432 | I | By Jolson 1991 Trust |
| Common StockF1,F2,F5,F4 | Dec 16, 2015 | P | 4,949 | $11.4302 | A | 349,381 | I | By Jolson 1991 Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This amendment is being filed to include footnotes reflecting (i) that the previously reported purchases on December 15 and December 16, 2015, occurred in multiple transactions, (ii) that the prices reported in Column 4 are the weighted average purchase prices for such transactions, (iii) the ranges of prices for such transactions and the Reporting Person's undertaking with respect to such transactions, and (iv) that the purchases were effectuated pursuant to a Rule 10b5-1 purchase plan of the Reporting Person.
- F2Reflects the acquisition of common shares pursuant to the Rule 10b5-1 purchase plan of the Reporting Person.
- F3The price reflects the weighted average purchase price. The purchase prices for these transactions ranged from 10.77 to 11.50. 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.
- F4Reflects shares of common stock held by the Joseph A. Jolson 1991 Trust, of which Mr. Jolson is the trustee.
- F5The price reflects the weighted average purchase price. The purchase prices for these transactions ranged from 11.28 to 11.50. 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.