Sec Form 4/A Filing - JMP GROUP LLC @ Harvest Capital Credit Corp - 2018-03-07

Insider filing report for Changes in Beneficial Ownership
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FORM 4/A
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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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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/YY)
03/07/2018
(Street)
SAN FRANCISCO, CA94111
4. If Amendment, Date Original Filed (MM/DD/YY)
03/09/2018
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction 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 ( 2 ) 03/07/2018 P 3,900 A $ 10.919 ( 1 ) 901,045 I See Footnote ( 3 )
Common Stock ( 2 ) 03/08/2018 P 3,320 A $ 10.7919 904,365 I See Footnote ( 3 )
Common Stock ( 2 ) 03/09/2018 P 2,641 A $ 10.9427 ( 1 ) 907,006 I See Footnote ( 3 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
JMP GROUP LLC
600 MONTGOMERY STREET, SUITE 1100
SAN FRANCISCO, CA94111
X
JMP Group Inc.
600 MONTGOMERY STREET, SUITE 1100
SAN FRANCISCO, CA94111
X
JMP SECURITIES LLC
600 MONTGOMERY STREET, SUITE 1100
SAN FRANCISCO, CA94111
X
JMP Holding LLC
600 MONTGOMERY STREET, SUITE 1100
SAN FRANCISCO, CA94111
X
JMP Investment Holdings LLC
600 MONTGOMERY STREET, SUITE 1100
SAN FRANCISCO, CA94111
X
Signatures
/s/ Walter Conroy, Authorized Person of JMP Group LLC 03/19/2018
Signature of Reporting Person Date
/s/ Walter Conroy, Authorized Person of JMP Group Inc. 03/19/2018
Signature of Reporting Person Date
/s/ Walter Conroy, Authorized Person of JMP Holding LLC 03/19/2018
Signature of Reporting Person Date
/s/ Walter Conroy, Authorized Person of JMP Investment Holdings LLC 03/19/2018
Signature of Reporting Person Date
/s/ Walter Conroy, Authorized Person of JMP Securities LLC 03/19/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )This Form 4A amends the Form 4 filing dated March 9, 2018 to correct the purchase price of the shares acquired on March 7, 2018 from $10.8967 to $10.919 and on March 9, 2018 from $10.8627 to $10.9427
( 2 )Reflects the acquisition of common stock pursuant to a Rule 10b5-1 Purchase Plan of JMP Investment Holdings LLC.
( 3 )901,348 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.

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