September 24, 2017 11:33 PM ET

Capital Markets

Company Overview of Harvest Capital Strategies LLC

Company Overview

Harvest Capital Strategies LLC is a privately owned hedge fund manager. The firm primarily provides its services to pooled investment vehicles. It also caters to corporations. The firm manages a family of single strategy and multi manager hedge funds for its clients. It invests in private equity and public equity markets. The firm was founded in 1999 and is based in San Francisco, California. Harvest Capital Strategies LLC operates as a subsidiary of JMP Group Inc.

600 Montgomery Street

Suite 1700

San Francisco, CA 94111

United States

Founded in 1999





Key Executives for Harvest Capital Strategies LLC

Chief Executive Officer, Portfolio Manager and Member of the Board of Directors
Age: 58
President and Chief Operating Officer
Chief Financial Officer
Age: 44
Managing Director and Chief Compliance Officer
Age: 61
Managing Director and Portfolio Manager
Compensation as of Fiscal Year 2017.

Harvest Capital Strategies LLC Key Developments

SEC Charges Harvest Capital Strategies LLC for Short Selling Violations in Advance Stock Offerings

Harvest Capital Strategies LLC agreed to pay disgorgement of $18,835, prejudgment interest of $619.28, and a penalty of $65,000 to SEC. Intended  to  preserve the  independent pricing  mechanisms of  the securities  markets and  prevent stock price manipulation, Rule 105 prohibits firms  from participating in public stock  offerings after selling short  those same stocks. Through  its Rule 105 Initiative,  which was first announced  in 2013 as an effort  to address violations of the rule in an  expedited and  streamlined way,  the Division  of Enforcement  has taken  action on  every Rule  105 violation  over a de minimis  amount that has come  to its attention--promoting a  message of zero tolerance for these offenses.

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