SEC Form 4/A · accession 0001559909-15-000060
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
Nov 2, 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 StockF2,F3,F4 | Nov 2, 2015 | P | 2,600 | $11.4927 | A | 329,187 | I | By Jolson 1991 Trust |
| Common StockF5 | holding | — | — | — | 35,768 | I | By Foundation | |
| Common Stock | holding | — | — | — | 10,000 | I | By Daughter |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This amendment is being filed to (i) correct the transaction code by changing it from "I" to "P"; (ii) include all of the Reporting Person's holdings of the issuer's common stock as of the transaction date; and (iii) include footnotes reflecting (A) that the previously reported purchase occurred in multiple transactions, (B) that the price reported in Column 4 is the weighted average purchase price of such transactions, (C) the range of prices for such transactions and the Reporting Person's undertaking with respect to such transactions, and (D) 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 11.48 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.
- 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.