SEC Form 4 · accession 0001559909-18-000073
Harvest Capital Credit Corp · HCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph A Jolson
Officer — Chief Executive Officer · Director
Period of report
Dec 19, 2018
Accepted (ET)
Dec 21, 2018 · 4:34 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 | Dec 19, 2018 | P | 4,477 | $9.53 | A | 638,539 | I | By Jolson 1991 Trust |
| Common StockF3,F2 | Dec 20, 2018 | P | 9,118 | $9.50 | A | 647,657 | I | By Jolson 1991 Trust |
| Common StockF4,F2 | Dec 21, 2018 | P | 5,324 | $9.53 | A | 652,981 | I | By Jolson 1991 Trust |
| Common Stock | holding | — | — | — | 20,000 | D | ||
| Common Stock | holding | — | — | — | 10,000 | I | By Daughter | |
| Common StockF5 | holding | — | — | — | 35,768 | I | By Foundation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reflects the weighted average purchase price. The purchase prices for these transactions ranged from 9.45 to 9.58. 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.
- F2Reflects shares of common stock held by the Joseph A. Jolson 1991 Trust, of which Mr. Jolson is the trustee.
- F3The price reflects the weighted average purchase price. The purchase prices for these transactions ranged from 9.32 to 9.62. 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.
- F4The price reflects the weighted average purchase price. The purchase prices for these transactions ranged from 9.43 to 9.60. 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.
- 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.