Filing Details
- Accession Number:
- 0001437749-17-020869
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2017-12-18 17:31:12
- Reporting Period:
- 2017-12-04
- Accepted Time:
- 2017-12-18 17:31:12
- Original Submission Date:
- 2017-12-07
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1559909 | Harvest Capital Credit Corp | HCAP | () | DE |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 831726 | Jmp Securities Llc | 600 Montgomery Street, Suite 1100 San Francisco CA 94111 | No | No | Yes | No | |
| 1302350 | Jmp Group Llc | 600 Montgomery Street, Suite 1100 San Francisco CA 94111 | No | No | Yes | No | |
| 1383803 | Jmp Group Inc. | 600 Montgomery Street, Suite 1100 San Francisco CA 94111 | No | No | Yes | No | |
| 1631416 | Jmp Holding Llc | 600 Montgomery Street, Suite 1100 San Francisco CA 94111 | No | No | Yes | No | |
| 1631823 | Jmp Investment Holdings Llc | 600 Montgomery Street, Suite 1100 San Francisco CA 94111 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-12-04 | 8,803 | $10.93 | 831,635 | No | 4 | P | Indirect | See Footnote |
| Common Stock | Acquisiton | 2017-12-05 | 300 | $11.00 | 831,935 | No | 4 | P | Indirect | See Footnote |
| Common Stock | Acquisiton | 2017-12-06 | 100 | $11.00 | 832,035 | No | 4 | P | Indirect | See Footnote |
| Common Stock | Acquisiton | 2017-12-07 | 2,100 | $11.00 | 834,135 | No | 4 | P | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
Footnotes
- This Form 4A amends the Form 4 filing dated December 7, 2017 to include a purchase of shares by the Reporting Person on December 4, 2017. This purchase was inadvertly omitted from the original Form 4 filing.
- The range of prices for the common shares is from $10.85 to $11.00. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.
- 828,477 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.
- The range of prices for the common shares is from $10.98 to $11.00. The Reporting Person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.
Billionaire Hedge Funds
