0001437749-18-000150.txt : 20180103 0001437749-18-000150.hdr.sgml : 20180103 20180103173943 ACCESSION NUMBER: 0001437749-18-000150 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171229 FILED AS OF DATE: 20180103 DATE AS OF CHANGE: 20180103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JMP GROUP LLC CENTRAL INDEX KEY: 0001302350 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00985 FILM NUMBER: 18507005 BUSINESS ADDRESS: STREET 1: 600 MONTGOMERY STREET STREET 2: SUITE 1100 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4158358900 MAIL ADDRESS: STREET 1: 600 MONTGOMERY STREET STREET 2: SUITE 1100 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JMP SECURITIES LLC CENTRAL INDEX KEY: 0000831726 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00985 FILM NUMBER: 18507003 BUSINESS ADDRESS: STREET 1: 600 MONTGOMERY STREET, SUITE 1100 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-835-8919 MAIL ADDRESS: STREET 1: 600 MONTGOMERY STREET, SUITE 1100 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FORMER NAME: FORMER CONFORMED NAME: JOLSON MERCHANT PARTNERS /BD DATE OF NAME CHANGE: 20020517 FORMER NAME: FORMER CONFORMED NAME: MITCHUM JONES & TEMPLETON INC DATE OF NAME CHANGE: 20001006 FORMER NAME: FORMER CONFORMED NAME: MITCHUM JONES & TEMPLETON INC /CA// /BD DATE OF NAME CHANGE: 19930721 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JMP Investment Holdings LLC CENTRAL INDEX KEY: 0001631823 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00985 FILM NUMBER: 18507001 BUSINESS ADDRESS: STREET 1: 600 MONTGOMERY STREET STREET 2: SUITE 1100 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4158358900 MAIL ADDRESS: STREET 1: 600 MONTGOMERY STREET STREET 2: SUITE 1100 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JMP Holding LLC CENTRAL INDEX KEY: 0001631416 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00985 FILM NUMBER: 18507002 BUSINESS ADDRESS: STREET 1: 600 MONTGOMERY ST STREET 2: SUITE 1100 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4158358900 MAIL ADDRESS: STREET 1: 600 MONTGOMERY ST STREET 2: SUITE 1100 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JMP Group Inc. CENTRAL INDEX KEY: 0001383803 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00985 FILM NUMBER: 18507004 BUSINESS ADDRESS: STREET 1: 600 MONTGOMERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-835-8900 MAIL ADDRESS: STREET 1: 600 MONTGOMERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94111 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Harvest Capital Credit Corp CENTRAL INDEX KEY: 0001559909 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 767 THIRD AVENUE STREET 2: 25TH FLOOR CITY: New York STATE: NY ZIP: 10017 BUSINESS PHONE: 212-906-3500 MAIL ADDRESS: STREET 1: 767 THIRD AVENUE STREET 2: 25TH FLOOR CITY: New York STATE: NY ZIP: 10017 4 1 rdgdoc.xml FORM 4 X0306 4 2017-12-29 0001559909 Harvest Capital Credit Corp HCAP 0001302350 JMP GROUP LLC 600 MONTGOMERY STREET, SUITE 1100 SAN FRANCISCO CA 94111 1 0001383803 JMP Group Inc. 600 MONTGOMERY STREET, SUITE 1100 SAN FRANCISCO CA 94111 1 0000831726 JMP SECURITIES LLC 600 MONTGOMERY STREET, SUITE 1100 SAN FRANCISCO CA 94111 1 0001631416 JMP Holding LLC 600 MONTGOMERY STREET, SUITE 1100 SAN FRANCISCO CA 94111 1 0001631823 JMP Investment Holdings LLC 600 MONTGOMERY STREET, SUITE 1100 SAN FRANCISCO CA 94111 1 Common Stock 2017-12-29 4 P 0 5675 10.9949 A 860464 I See Footnote Common Stock 2018-01-02 4 P 0 2800 10.975 A 863264 I See Footnote Reflects the acquisition of common stock pursuant to a Rule 10b5-1 Purchase Plan of JMP Investment Holdings LLC. 867,606 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. /s/ Walter Conroy, Authorized Person of JMP Group LLC 2018-01-03 /s/ Walter Conroy, Authorized Person of JMP Group Inc. 2018-01-03 /s/ Walter Conroy, Authorized Person of JMP Holding LLC 2018-01-03 /s/ Walter Conroy, Authorized Person of JMP Investment Holdings LLC 2018-01-03 /s/ Walter Conroy, Authorized Person of JMP Securities LLC 2018-01-03