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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Harvest Capital Strategies LLC 600 MONTGOMERY STREET SUITE 2000 SAN FRANCISCO, CA 94111 |
see footnote 3 |
Janet L Tarkoff, Chief Legal Officer | 01/10/2012 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The Reporting Person has investment control over these securities pursuant to an Investment Management Agreement with JMP Securities LLC, the beneficial owner of such securities. This report shall not be an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purposes. |
(2) | Harvest Capital Strategies LLC disclaims "group" status with any other holder, including but not limited to JMP Securities LLC and JMP Group Inc. |
(3) | On December 6, 2011, the Company closed an issuance of an additional 2,400,000 shares of its common stock and on December 16, 2011 closed on an additional issuance of 360,000 shares of its common stock for a total of 13,938,273 shares of common stock issued and outstanding. The Reporting Person is not a 10% owner of the Company's common stock and not otherwise an "affiliate" of the Company nor subject to reporting requirements. |