HARVEST CAPITAL STRATEGIES LLC

HTTP://WWW.HARVESTCAPS.COM SAN FRANCISCO, CA Investment Advisor Hedge Fund How do I update this listing?

Harvest Capital Strategies is based out of San Francisco. Harvest Capital Strategies is a large advisory firm with 12 clients and discretionary assets under management (AUM) of $498,982,006 (Form ADV from 2019-07-26). Their last reported 13F filing for Q3 2019 included $73,663,000 in managed 13F securities and a top 10 holdings concentration of 59.12%. Harvest Capital Strategies's largest holding is Tyson Foods, Inc. with shares held of 57,000. Whalewisdom has at least 66 13F filings, 24 13D filings, and 57 13G filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $73.663 Million
  • Prior Market Value $71.931 Million
  • New Purchases2 stocks
  • Additional Purchases7 stocks
  • Sold out of1 stock
  • Reduced holdings in7 stocks
  • Top 10 Holdings % 59.12 %
  • Turnover % [1]:13.04%
  • Turnover Alt % [2]: 10.09 %
  • Time Held Top20:2.45 quarters
  • Time Held Top10:2.00 quarters
  • Time Held All:10.30 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 3.79%
Performance Last 4 Quarters: 1.98%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR/A (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR/A (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

HARVEST CAPITAL STRATEGIES LLC
Classified as Hedge Fund
600 MONTGOMERY STREET SUITE 1100
SAN FRANCISCO CA    94111
Country: United States

Business Phone: (415) 835-3900
Fax: (415) 263-1336
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 15
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees,PERFORMANCE-BASED ALLOCATIONS
Amount of client funds and securities: 2,582,370
Total Number of Clients: 12
Amount of client funds and securities by related persons: 338,615,000
Total Number of clients from related persons: 9
Disclosures: 11.C (2),11.C (4),11.C (5)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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HARVEST CAPITAL STRATEGIES LLC

ownership team - last updated 2019-07-26
Name Title Start Date Direct/Indirect % Ownership
JOLSON, JOSEPH, ANDREW CHIEF EXECUTIVE OFFICER 09/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
JMP ASSET MANAGEMENT LLC CEO direct 1999-09-01
HARVEST CAPITAL STRATEGIES LLC CEO OF HARVEST CAPITAL STRATEGIES LLC AND CRATOS CDO MANAGEMENT LLC direct 1999-09-01
HARVEST CAPITAL STRATEGIES LLC CHIEF EXECUTIVE OFFICER direct 1999-09-01
JMP ASSET MANAGEMENT LLC MANAGING MEMBER indirect 1999-09-01
HARVEST CAPITAL STRATEGIES LLC CEO OF HARVEST CAPITAL STRATEGIES LLC direct 1999-09-01
HCAP ADVISORS LLC CEO direct 2012-10-01
HCC ADVISORS LLC CHAIRMAN direct 2012-10-01
JMP HOLDING LLC MANAGING MEMBER 09/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC MANAGING MEMBER OF HARVEST CAPITAL STRATEGIES LLC direct 1999-09-01
JMP ASSET MANAGEMENT LLC MANAGING MEMBER direct 1999-09-01
HARVEST CAPITAL STRATEGIES LLC MEMBER indirect 1999-09-01
HARVEST CAPITAL STRATEGIES LLC SOLE MEMBER indirect 2012-10-01
HCAP ADVISORS LLC MEMBER direct 2015-01-01
JMP CREDIT ADVISORS LLC MEMBER indirect 2009-04-01
JMP CREDIT ADVISORS LLC MEMBER direct 2015-01-01
JACKSON, RAYMOND, SIVA CHIEF FINANCIAL OFFICER 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
JMP ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2008-07-01
HARVEST CAPITAL STRATEGIES LLC CHIEF FINANCIAL OFFICER OF HARVEST CAPITAL STRATEGIES LLC direct 2008-07-01
LYNCH, KEVIN, CHRISTOPHER PRESIDENT AND CHIEF OPERATING OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC PRESIDENT AND CHIEF OPERATING OFFICER direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC PRESIDENT, CHIEF OPERATING OFFICER, AND CHIEF COMPLIANCE OFFICER direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC PRESIDENT AND CHIEF OPERATING OFFICER OF HARVEST CAPITAL STRATEGIES LLC direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC CHIEF COMPLIANCE OFFICER OF HARVEST CAPITAL STRATEGIES LLC AND CRATOS CDO MANAGEMENT LLC direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC CHIEF COMPLIANCE OFFICER OF HARVEST CAPITAL STRATEGIES LLC, JMP CREDIT ADVISORS LLC, AND CRATOS CDO MANAGEMENT LLC direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER direct 2009-02-01
HARVEST CAPITAL STRATEGIES LLC PRESIDENT AND CHIEF OPERATING OFFICER OF HARVEST CAPITAL STRATEGIES LLC direct 2009-02-01
PANTERA CAPITAL MANAGEMENT LP CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER direct 2008-01-01
FORT MASON CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2006-01-01
FORT MASON CAPITAL LLC CHIEF FINANCIAL OFFICER direct 2006-01-01
JOHNSON, CRAIG, RANDALL CHAIRMAN 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC CHAIRMAN direct 2011-01-01
HARVEST CAPITAL STRATEGIES LLC CHAIRMAN OF HARVEST CAPITAL STRATEGIES LLC direct 2011-01-01
Rosenberg, Zachary, Seth CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
Conroy, Walter, Ivor CHIEF LEGAL OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC CHIEF LEGAL OFFICER direct 2016-04-01
JMP GROUP INC SOLE MEMBER JMP HOLDING LLC 05/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JMP ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2007-05-01
HARVEST CAPITAL STRATEGIES LLC SOLE MEMBER indirect 2007-05-01
HARVEST CAPITAL STRATEGIES LLC SOLE MEMBER indirect 2007-05-01
RIVERBANC LLC SOLE MEMBER indirect 2007-05-01
RIVERBANC LLC MEMBER direct 2012-09-01
RIVERBANC LLC SOLE MEMBER indirect 2015-01-01
RIVERBANC LLC MEMBER direct 2015-01-01
HCAP ADVISORS LLC SOLE MEMBER indirect 2007-05-01
HCAP ADVISORS LLC SOLE MEMBER indirect 2007-05-01
JMP CREDIT ADVISORS LLC SOLE MEMBER indirect 2007-05-01
JMP CREDIT ADVISORS LLC SOLE MEMBER indirect 2007-05-01
JMP CREDIT ADVISORS LLC SOLE MEMBER indirect 2015-01-01
JMP GROUP LLC SOLE SHAREHOLDER JMP GROUP INC. 01/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC SOLE SHAREHOLDER indirect 2015-01-01
RIVERBANC LLC SOLE SHAREHOLDER indirect 2015-01-01
HCAP ADVISORS LLC SOLE SHAREHOLDER indirect 2015-01-01
JMP CREDIT ADVISORS LLC SOLE SHAREHOLDER indirect 2015-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HARVEST INTREXON ENTERPRISE FUND I, L.P. United States 805-9611849695 Private Equity Fund 95,964,391 5,000,000
HARVEST GROWTH CAPITAL II LLC United States 805-5383653592 Private Equity Fund 181,694,064 250,000
HARVEST AGRICULTURE SELECT MASTER, LP Cayman Islands 805-2203817890 Hedge Fund 35,594,948 250,000 Master Fund
HARVEST INTREXON ENTERPRISE FUND I (AI), LP United States 805-9996110380 Private Equity Fund 5,481,787 5,000,000
JMP REALTY PARTNERS I LLC United States 805-5532303405 Real Estate Fund 27,640,839 500,000
JMP MASTERS FUND, LP United States 805-4381528116 Hedge Fund 2,582,370 1,000,000 Fund of Funds
HARVEST GROWTH CAPITAL LLC United States 805-8136677788 Private Equity Fund 34,048,350 250,000
HARVEST AGRICULTURE SELECT, L.P United States 805-9430393335 Hedge Fund 14,609,143 250,000
JMP CAPITAL I LLC United States 805-3068962661 Private Equity Fund 29,406,965 1,000,000

HARVEST CAPITAL STRATEGIES LLC

ownership team - last updated 2019-05-30
Name Title Start Date Direct/Indirect % Ownership
JOLSON, JOSEPH, ANDREW CHIEF EXECUTIVE OFFICER 09/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
JMP ASSET MANAGEMENT LLC CEO direct 1999-09-01
HARVEST CAPITAL STRATEGIES LLC CEO OF HARVEST CAPITAL STRATEGIES LLC AND CRATOS CDO MANAGEMENT LLC direct 1999-09-01
HARVEST CAPITAL STRATEGIES LLC CHIEF EXECUTIVE OFFICER direct 1999-09-01
JMP ASSET MANAGEMENT LLC MANAGING MEMBER indirect 1999-09-01
HARVEST CAPITAL STRATEGIES LLC CEO OF HARVEST CAPITAL STRATEGIES LLC direct 1999-09-01
HCAP ADVISORS LLC CEO direct 2012-10-01
HCC ADVISORS LLC CHAIRMAN direct 2012-10-01
JMP HOLDING LLC MANAGING MEMBER 09/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC MANAGING MEMBER OF HARVEST CAPITAL STRATEGIES LLC direct 1999-09-01
JMP ASSET MANAGEMENT LLC MANAGING MEMBER direct 1999-09-01
HARVEST CAPITAL STRATEGIES LLC MEMBER indirect 1999-09-01
HARVEST CAPITAL STRATEGIES LLC SOLE MEMBER indirect 2012-10-01
HCAP ADVISORS LLC MEMBER direct 2015-01-01
JMP CREDIT ADVISORS LLC MEMBER indirect 2009-04-01
JMP CREDIT ADVISORS LLC MEMBER direct 2015-01-01
JACKSON, RAYMOND, SIVA CHIEF FINANCIAL OFFICER 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
JMP ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2008-07-01
HARVEST CAPITAL STRATEGIES LLC CHIEF FINANCIAL OFFICER OF HARVEST CAPITAL STRATEGIES LLC direct 2008-07-01
LYNCH, KEVIN, CHRISTOPHER PRESIDENT AND CHIEF OPERATING OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC PRESIDENT AND CHIEF OPERATING OFFICER direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC PRESIDENT, CHIEF OPERATING OFFICER, AND CHIEF COMPLIANCE OFFICER direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC PRESIDENT AND CHIEF OPERATING OFFICER OF HARVEST CAPITAL STRATEGIES LLC direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC CHIEF COMPLIANCE OFFICER OF HARVEST CAPITAL STRATEGIES LLC AND CRATOS CDO MANAGEMENT LLC direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC CHIEF COMPLIANCE OFFICER OF HARVEST CAPITAL STRATEGIES LLC, JMP CREDIT ADVISORS LLC, AND CRATOS CDO MANAGEMENT LLC direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER direct 2009-02-01
HARVEST CAPITAL STRATEGIES LLC PRESIDENT AND CHIEF OPERATING OFFICER OF HARVEST CAPITAL STRATEGIES LLC direct 2009-02-01
PANTERA CAPITAL MANAGEMENT LP CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER direct 2008-01-01
FORT MASON CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2006-01-01
FORT MASON CAPITAL LLC CHIEF FINANCIAL OFFICER direct 2006-01-01
JOHNSON, CRAIG, RANDALL CHAIRMAN 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC CHAIRMAN direct 2011-01-01
HARVEST CAPITAL STRATEGIES LLC CHAIRMAN OF HARVEST CAPITAL STRATEGIES LLC direct 2011-01-01
Rosenberg, Zachary, Seth CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
Conroy, Walter, Ivor CHIEF LEGAL OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC CHIEF LEGAL OFFICER direct 2016-04-01
JMP GROUP INC SOLE MEMBER JMP HOLDING LLC 05/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JMP ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2007-05-01
HARVEST CAPITAL STRATEGIES LLC SOLE MEMBER indirect 2007-05-01
HARVEST CAPITAL STRATEGIES LLC SOLE MEMBER indirect 2007-05-01
RIVERBANC LLC SOLE MEMBER indirect 2007-05-01
RIVERBANC LLC MEMBER direct 2012-09-01
RIVERBANC LLC SOLE MEMBER indirect 2015-01-01
RIVERBANC LLC MEMBER direct 2015-01-01
HCAP ADVISORS LLC SOLE MEMBER indirect 2007-05-01
HCAP ADVISORS LLC SOLE MEMBER indirect 2007-05-01
JMP CREDIT ADVISORS LLC SOLE MEMBER indirect 2007-05-01
JMP CREDIT ADVISORS LLC SOLE MEMBER indirect 2007-05-01
JMP CREDIT ADVISORS LLC SOLE MEMBER indirect 2015-01-01
JMP GROUP LLC SOLE SHAREHOLDER JMP GROUP INC. 01/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC SOLE SHAREHOLDER indirect 2015-01-01
RIVERBANC LLC SOLE SHAREHOLDER indirect 2015-01-01
HCAP ADVISORS LLC SOLE SHAREHOLDER indirect 2015-01-01
JMP CREDIT ADVISORS LLC SOLE SHAREHOLDER indirect 2015-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
JMP CAPITAL I LLC United States 805-3068962661 Private Equity Fund 29,406,965 1,000,000
HARVEST INTREXON ENTERPRISE FUND I, L.P. United States 805-9611849695 Private Equity Fund 95,964,391 5,000,000
HARVEST GROWTH CAPITAL II LLC United States 805-5383653592 Private Equity Fund 181,694,064 250,000
HARVEST AGRICULTURE SELECT MASTER, LP Cayman Islands 805-2203817890 Hedge Fund 35,594,948 250,000 Master Fund
HARVEST INTREXON ENTERPRISE FUND I (AI), LP United States 805-9996110380 Private Equity Fund 5,481,787 5,000,000
JMP REALTY PARTNERS I LLC United States 805-5532303405 Real Estate Fund 27,640,839 500,000
JMP MASTERS FUND, LP United States 805-4381528116 Hedge Fund 2,582,370 1,000,000 Fund of Funds
HARVEST GROWTH CAPITAL LLC United States 805-8136677788 Private Equity Fund 34,048,350 250,000
HARVEST AGRICULTURE SELECT, L.P United States 805-9430393335 Hedge Fund 14,609,143 250,000

HARVEST CAPITAL STRATEGIES LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
JOLSON, JOSEPH, ANDREW CHIEF EXECUTIVE OFFICER 09/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
JMP ASSET MANAGEMENT LLC CEO direct 1999-09-01
HARVEST CAPITAL STRATEGIES LLC CEO OF HARVEST CAPITAL STRATEGIES LLC AND CRATOS CDO MANAGEMENT LLC direct 1999-09-01
HARVEST CAPITAL STRATEGIES LLC CHIEF EXECUTIVE OFFICER direct 1999-09-01
JMP ASSET MANAGEMENT LLC MANAGING MEMBER indirect 1999-09-01
HARVEST CAPITAL STRATEGIES LLC CEO OF HARVEST CAPITAL STRATEGIES LLC direct 1999-09-01
HCAP ADVISORS LLC CEO direct 2012-10-01
HCC ADVISORS LLC CHAIRMAN direct 2012-10-01
JMP HOLDING LLC MANAGING MEMBER 09/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC MANAGING MEMBER OF HARVEST CAPITAL STRATEGIES LLC direct 1999-09-01
JMP ASSET MANAGEMENT LLC MANAGING MEMBER direct 1999-09-01
HARVEST CAPITAL STRATEGIES LLC MEMBER indirect 1999-09-01
HARVEST CAPITAL STRATEGIES LLC SOLE MEMBER indirect 2012-10-01
HCAP ADVISORS LLC MEMBER direct 2015-01-01
JMP CREDIT ADVISORS LLC MEMBER indirect 2009-04-01
JMP CREDIT ADVISORS LLC MEMBER direct 2015-01-01
JACKSON, RAYMOND, SIVA CHIEF FINANCIAL OFFICER 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
JMP ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2008-07-01
HARVEST CAPITAL STRATEGIES LLC CHIEF FINANCIAL OFFICER OF HARVEST CAPITAL STRATEGIES LLC direct 2008-07-01
LYNCH, KEVIN, CHRISTOPHER PRESIDENT AND CHIEF OPERATING OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC PRESIDENT AND CHIEF OPERATING OFFICER direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC PRESIDENT, CHIEF OPERATING OFFICER, AND CHIEF COMPLIANCE OFFICER direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC PRESIDENT AND CHIEF OPERATING OFFICER OF HARVEST CAPITAL STRATEGIES LLC direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC CHIEF COMPLIANCE OFFICER OF HARVEST CAPITAL STRATEGIES LLC AND CRATOS CDO MANAGEMENT LLC direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC CHIEF COMPLIANCE OFFICER OF HARVEST CAPITAL STRATEGIES LLC, JMP CREDIT ADVISORS LLC, AND CRATOS CDO MANAGEMENT LLC direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER direct 2009-02-01
HARVEST CAPITAL STRATEGIES LLC PRESIDENT AND CHIEF OPERATING OFFICER OF HARVEST CAPITAL STRATEGIES LLC direct 2009-02-01
PANTERA CAPITAL MANAGEMENT LP CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER direct 2008-01-01
FORT MASON CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2006-01-01
FORT MASON CAPITAL LLC CHIEF FINANCIAL OFFICER direct 2006-01-01
JOHNSON, CRAIG, RANDALL CHAIRMAN 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC CHAIRMAN direct 2011-01-01
HARVEST CAPITAL STRATEGIES LLC CHAIRMAN OF HARVEST CAPITAL STRATEGIES LLC direct 2011-01-01
Rosenberg, Zachary, Seth CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
Conroy, Walter, Ivor CHIEF LEGAL OFFICER 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC CHIEF LEGAL OFFICER direct 2016-04-01
JMP GROUP INC SOLE MEMBER JMP HOLDING LLC 05/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JMP ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2007-05-01
HARVEST CAPITAL STRATEGIES LLC SOLE MEMBER indirect 2007-05-01
HARVEST CAPITAL STRATEGIES LLC SOLE MEMBER indirect 2007-05-01
RIVERBANC LLC SOLE MEMBER indirect 2007-05-01
RIVERBANC LLC MEMBER direct 2012-09-01
RIVERBANC LLC SOLE MEMBER indirect 2015-01-01
RIVERBANC LLC MEMBER direct 2015-01-01
HCAP ADVISORS LLC SOLE MEMBER indirect 2007-05-01
HCAP ADVISORS LLC SOLE MEMBER indirect 2007-05-01
JMP CREDIT ADVISORS LLC SOLE MEMBER indirect 2007-05-01
JMP CREDIT ADVISORS LLC SOLE MEMBER indirect 2007-05-01
JMP CREDIT ADVISORS LLC SOLE MEMBER indirect 2015-01-01
JMP GROUP LLC SOLE SHAREHOLDER JMP GROUP INC. 01/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC SOLE SHAREHOLDER indirect 2015-01-01
RIVERBANC LLC SOLE SHAREHOLDER indirect 2015-01-01
HCAP ADVISORS LLC SOLE SHAREHOLDER indirect 2015-01-01
JMP CREDIT ADVISORS LLC SOLE SHAREHOLDER indirect 2015-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
JMP CAPITAL I LLC United States 805-3068962661 Private Equity Fund 29,406,965 1,000,000
HARVEST INTREXON ENTERPRISE FUND I, L.P. United States 805-9611849695 Private Equity Fund 95,964,391 5,000,000
HARVEST GROWTH CAPITAL II LLC United States 805-5383653592 Private Equity Fund 181,694,064 250,000
HARVEST AGRICULTURE SELECT MASTER, LP Cayman Islands 805-2203817890 Hedge Fund 31,538,364 250,000 Master Fund
HARVEST INTREXON ENTERPRISE FUND I (AI), LP United States 805-9996110380 Private Equity Fund 5,481,787 5,000,000
HSCP STRATEGIC I, L.P. United States 805-2743127920 Hedge Fund 0 250,000
JMP REALTY PARTNERS I LLC United States 805-5532303405 Real Estate Fund 27,640,839 500,000
HARVEST SMALL CAP PARTNERS, L.P. United States 805-6756323561 Hedge Fund 238,045,996 1,000,000
HARVEST SMALL CAP PARTNERS MASTER, LTD. Cayman Islands 805-9456921938 Hedge Fund 446,605,614 1,000,000 Master Fund
JMP MASTERS FUND, LP United States 805-4381528116 Hedge Fund 2,582,370 1,000,000 Fund of Funds
HARVEST GROWTH CAPITAL LLC United States 805-8136677788 Private Equity Fund 34,048,350 250,000
HARVEST AGRICULTURE SELECT, L.P United States 805-9430393335 Hedge Fund 14,799,779 250,000

HARVEST CAPITAL STRATEGIES LLC

ownership team - last updated 2017-09-28
Name Title Start Date Direct/Indirect % Ownership
Rosenberg, Zachary, Seth CHIEF COMPLIANCE OFFICER 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC CHIEF COMPLIANCE OFFICER direct 2016-01-01
JOHNSON, CRAIG, RANDALL CHAIRMAN 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC CHAIRMAN direct 2011-01-01
HARVEST CAPITAL STRATEGIES LLC CHAIRMAN OF HARVEST CAPITAL STRATEGIES LLC direct 2011-01-01
LYNCH, KEVIN, CHRISTOPHER PRESIDENT AND CHIEF OPERATING OFFICER 01/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC PRESIDENT AND CHIEF OPERATING OFFICER direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC PRESIDENT, CHIEF OPERATING OFFICER, AND CHIEF COMPLIANCE OFFICER direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC PRESIDENT AND CHIEF OPERATING OFFICER OF HARVEST CAPITAL STRATEGIES LLC direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC CHIEF COMPLIANCE OFFICER OF HARVEST CAPITAL STRATEGIES LLC AND CRATOS CDO MANAGEMENT LLC direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC CHIEF COMPLIANCE OFFICER OF HARVEST CAPITAL STRATEGIES LLC, JMP CREDIT ADVISORS LLC, AND CRATOS CDO MANAGEMENT LLC direct 2009-01-01
HARVEST CAPITAL STRATEGIES LLC CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER direct 2009-02-01
HARVEST CAPITAL STRATEGIES LLC PRESIDENT AND CHIEF OPERATING OFFICER OF HARVEST CAPITAL STRATEGIES LLC direct 2009-02-01
PANTERA CAPITAL MANAGEMENT LP CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER direct 2008-01-01
FORT MASON CAPITAL LLC CHIEF COMPLIANCE OFFICER direct 2006-01-01
FORT MASON CAPITAL LLC CHIEF FINANCIAL OFFICER direct 2006-01-01
JACKSON, RAYMOND, SIVA CHIEF FINANCIAL OFFICER 07/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
JMP ASSET MANAGEMENT LLC CHIEF FINANCIAL OFFICER direct 2008-07-01
HARVEST CAPITAL STRATEGIES LLC CHIEF FINANCIAL OFFICER OF HARVEST CAPITAL STRATEGIES LLC direct 2008-07-01
JMP HOLDING LLC MANAGING MEMBER 09/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC MANAGING MEMBER OF HARVEST CAPITAL STRATEGIES LLC direct 1999-09-01
JMP ASSET MANAGEMENT LLC MANAGING MEMBER direct 1999-09-01
HARVEST CAPITAL STRATEGIES LLC MEMBER indirect 1999-09-01
HARVEST CAPITAL STRATEGIES LLC SOLE MEMBER indirect 2012-10-01
HCAP ADVISORS LLC MEMBER direct 2015-01-01
JMP CREDIT ADVISORS LLC MEMBER indirect 2009-04-01
JMP CREDIT ADVISORS LLC MEMBER direct 2015-01-01
JOLSON, JOSEPH, ANDREW CHIEF EXECUTIVE OFFICER 09/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
JMP ASSET MANAGEMENT LLC CEO direct 1999-09-01
HARVEST CAPITAL STRATEGIES LLC CEO OF HARVEST CAPITAL STRATEGIES LLC AND CRATOS CDO MANAGEMENT LLC direct 1999-09-01
HARVEST CAPITAL STRATEGIES LLC CHIEF EXECUTIVE OFFICER direct 1999-09-01
JMP ASSET MANAGEMENT LLC MANAGING MEMBER indirect 1999-09-01
HARVEST CAPITAL STRATEGIES LLC CEO OF HARVEST CAPITAL STRATEGIES LLC direct 1999-09-01
HCAP ADVISORS LLC CEO direct 2012-10-01
HCC ADVISORS LLC CHAIRMAN direct 2012-10-01
JMP GROUP LLC SOLE SHAREHOLDER JMP GROUP INC. 01/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
HARVEST CAPITAL STRATEGIES LLC SOLE SHAREHOLDER indirect 2015-01-01
RIVERBANC LLC SOLE SHAREHOLDER indirect 2015-01-01
HCAP ADVISORS LLC SOLE SHAREHOLDER indirect 2015-01-01
JMP CREDIT ADVISORS LLC SOLE SHAREHOLDER indirect 2015-01-01
JMP GROUP INC SOLE MEMBER JMP HOLDING LLC 05/01/2007 Indirect 75% or more
Fund Name Position direct/indirect start date end date
JMP ASSET MANAGEMENT LLC MANAGING MEMBER indirect 2007-05-01
HARVEST CAPITAL STRATEGIES LLC SOLE MEMBER indirect 2007-05-01
HARVEST CAPITAL STRATEGIES LLC SOLE MEMBER indirect 2007-05-01
RIVERBANC LLC SOLE MEMBER indirect 2007-05-01
RIVERBANC LLC MEMBER direct 2012-09-01
RIVERBANC LLC SOLE MEMBER indirect 2015-01-01
RIVERBANC LLC MEMBER direct 2015-01-01
HCAP ADVISORS LLC SOLE MEMBER indirect 2007-05-01
HCAP ADVISORS LLC SOLE MEMBER indirect 2007-05-01
JMP CREDIT ADVISORS LLC SOLE MEMBER indirect 2007-05-01
JMP CREDIT ADVISORS LLC SOLE MEMBER indirect 2007-05-01
JMP CREDIT ADVISORS LLC SOLE MEMBER indirect 2015-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HARVEST FINANCIAL PARTNERS, L.P. United States 805-8001869506 Hedge Fund 0 250,000
HARVEST INTREXON ENTERPRISE FUND I, L.P. United States 805-9611849695 Private Equity Fund 224,194,207 5,000,000
HARVEST GROWTH CAPITAL II LLC United States 805-5383653592 Private Equity Fund 131,448,692 250,000
HARVEST AGRICULTURE SELECT MASTER, LP Cayman Islands 805-2203817890 Hedge Fund 15,040,841 250,000 Master Fund
HARVEST TECHNOLOGY PARTNERS, L.P. United States 805-9182078024 Hedge Fund 16,856,496 500,000
HARVEST TECHNOLOGY PARTNERS OFFSHORE, LTD. Cayman Islands 805-5557878218 Hedge Fund 35,250,900 500,000
HARVEST SMALL CAP PARTNERS, L.P. United States 805-6756323561 Hedge Fund 299,264,432 1,000,000
HARVEST SMALL CAP PARTNERS MASTER, LTD. Cayman Islands 805-9456921938 Hedge Fund 490,751,905 1,000,000 Master Fund
JMP MASTERS FUND, LP United States 805-4381528116 Hedge Fund 4,119,577 1,000,000 Fund of Funds
HARVEST GROWTH CAPITAL LLC United States 805-8136677788 Private Equity Fund 21,610,775 250,000
HARVEST AGRICULTURE SELECT, L.P United States 805-9430393335 Hedge Fund 36,445,115 250,000
HARVEST INTREXON ENTERPRISE FUND I (AI), LP United States 805-9996110380 Private Equity Fund 12,977,474 5,000,000
HSCP STRATEGIC I, L.P. United States 805-2743127920 Hedge Fund 77,012,196 250,000
JMP REALTY PARTNERS I LLC United States 805-5532303405 Real Estate Fund 18,080,386 500,000

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