Statement of Changes in Beneficial Ownership (4)

Date : 12/07/2017 @ 5:59PM
Source : Edgar (US Regulatory)
Stock : Harvest Capital Credit Corp. (MM) (HCAP)
Quote : 11.0  0.0 (0.00%) @ 8:00PM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

JMP GROUP LLC
2. Issuer Name and Ticker or Trading Symbol

Harvest Capital Credit Corp [ HCAP ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      __ X __ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

600 MONTGOMERY STREET, SUITE 1100
3. Date of Earliest Transaction (MM/DD/YYYY)

12/5/2017
(Street)

SAN FRANCISCO, CA 94111
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   12/5/2017     P    300   A $11   823132   I   See Footnote   (2)
Common Stock   12/6/2017     P    100   A $11   823232   I   See Footnote   (2)
Common Stock   12/7/2017     P    2100   A $10.9971   (1) 825332   I   See Footnote   (2)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Explanation of Responses:
(1)  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.
(2)  819,674 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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
JMP GROUP LLC
600 MONTGOMERY STREET, SUITE 1100
SAN FRANCISCO, CA 94111

X

JMP Group Inc.
600 MONTGOMERY STREET, SUITE 1100
SAN FRANCISCO, CA 94111

X

JMP SECURITIES LLC
600 MONTGOMERY STREET, SUITE 1100
SAN FRANCISCO, CA 94111

X

JMP Holding LLC
600 MONTGOMERY STREET, SUITE 1100
SAN FRANCISCO, CA 94111

X

JMP Investment Holdings LLC
600 MONTGOMERY STREET, SUITE 1100
SAN FRANCISCO, CA 94111

X


Signatures
/s/ Walter Conroy, Authorized Person of JMP Group LLC 12/7/2017
** Signature of Reporting Person Date

/s/ Walter Conroy, Authorized Person of JMP Group Inc. 12/7/2017
** Signature of Reporting Person Date

/s/ Walter Conroy, Authorized Person of JMP Holding LLC 12/7/2017
** Signature of Reporting Person Date

/s/ Walter Conroy, Authorized Person of JMP Investment Holdings LLC 12/7/2017
** Signature of Reporting Person Date

/s/ Walter Conroy, Authorized Person of JMP Securities LLC 12/7/2017
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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