0001559909-21-000020.txt : 20210609
0001559909-21-000020.hdr.sgml : 20210609
20210609170342
ACCESSION NUMBER: 0001559909-21-000020
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210609
FILED AS OF DATE: 20210609
DATE AS OF CHANGE: 20210609
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Jolson Joseph A
CENTRAL INDEX KEY: 0001398113
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00985
FILM NUMBER: 211005866
MAIL ADDRESS:
STREET 1: 600 MONTGOMERY STREET
STREET 2: SUITE 1700
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: 450 PARK AVENUE
STREET 2: 5TH FLOOR
CITY: New York
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-906-3589
MAIL ADDRESS:
STREET 1: 450 PARK AVENUE
STREET 2: 5TH FLOOR
CITY: New York
STATE: NY
ZIP: 10022
4
1
wf-form4_162327260321759.xml
FORM 4
X0306
4
2021-06-09
1
0001559909
Harvest Capital Credit Corp
HCAP
0001398113
Jolson Joseph A
C/O HARVEST CAPITAL CREDIT CORPORATION
450 PARK AVENUE, 5TH FLOOR
NEW YORK
NY
10022
1
1
1
0
Chief Executive Officer
Common Stock
2021-06-09
4
D
0
864273
D
0
I
By Jolson 1991 Trust
Common Stock
2021-06-09
4
D
0
30000
D
0
D
Common Stock
2021-06-09
4
D
0
35768
D
0
I
By Foundation
On June 9, 2021, pursuant to an Agreement and Plan of Merger dated as of December 23, 2020 (the "Merger Agreement"), Harvest Capital Credit Corporation ("HCAP") and Portman Ridge Finance Corporation ("PTMN") effected a merger pursuant to which PTMN acquired all of the outstanding shares of HCAP's common stock in a multi-step stock and cash transaction (the "Merger"). Pursuant to the Merger Agreement, upon completion of the Merger, each issued and outstanding share of HCAP common stock was converted into the right to receive a pro rata portion, subject to HCAP stockholder elections and the adjustment mechanisms set forth in the Merger Agreement with respect to the PTMN Consideration (as defined below), of (1) approximately $18.5 million in cash payable by PTMN, (2) 15,252,453 validly issued, fully paid and non-assessable shares of PTMN's common stock, par value $0.01 per share (the "PTMN Stock Consideration" and,
continued from footnote 1: together with the PTMN Cash Consideration, the "PTMN Consideration") and (3) $2.15 million in cash payable by Sierra Crest Investment Management LLC.
Reflects shares of common stock held by the Joseph A. Jolson 1991 Trust, of which Mr. Jolson is the trustee.
Reflects shares of common stock held by The Jolson Family Foundation, of which Mr. Jolson is President and Treasurer. Mr. Jolson disclaims beneficial ownership of the shares.
/s/ WILLIAM E ALVAREZ, JR., ON BEHALF OF JOSEPH A. JOLSON
2021-06-09