SEC Form 4 · accession 0000899243-16-035304

MEDALLION FINANCIAL CORP · MFIN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman & CEO · Director

Period of report

Dec 8, 2016

Accepted (ET)

Dec 12, 2016 · 4:39 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001000209

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Dec 8, 2016	S	60,000	$3.5802	D	119,074	D
Common Stock^F2	Dec 8, 2016	P	60,000	$3.5988	A	1,228,182	I	See Footnote
Common Stock^F1	Dec 9, 2016	S	40,000	$3.6616	D	79,074	D
Common Stock^F2	Dec 9, 2016	P	40,000	$3.6981	A	1,268,182	I	See Footnote
Common Stock^F3	holding	—	—		—	70,118	I	See Footnote
Common Stock^F4	holding	—	—		—	117,660	I	See Footnote
Common Stock^F5	holding	—	—		—	5,000	I	See Footnote

No Table II lines on this filing.

F1For tax planning purposes, Mr. Murstein sold these shares that he held directly and purchased the equivalent amount of shares through a family trust, as described in Note (2) below. In accordance with Section 16(b) of the Securities Exchange Act of 1934, as amended, Mr. Murstein has disgorged to Medallion Financial Corp. short-swing profits from such transaction in the amount of $2,512.00.
F2Represents shares beneficially owned by the Alvin Murstein Second Family Trust registered in the name of Morgan Stanley of which Mr. Murstein is a co-trustee and the beneficiary.
F3Represents shares beneficially owned by the Alvin Murstein Second Family Trust of which Mr. Murstein is a co-trustee and the beneficiary.
F4Represents beneficially owned by the Aileen J. Murstein Family 2012 Trust of which Mr. Murstein is the grantor and Mr. Murstein's spouse is a co-trustee and the beneficiary.
F5Represents shares owned by Mr. Murstein's spouse.