SEC Form 4 · accession 0000899243-17-014373
MEDALLION FINANCIAL CORP · MFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alvin Murstein
Officer — Chairman & CEO · Director
Period of report
May 24, 2017
Accepted (ET)
May 25, 2017 · 5:55 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| 9.000% Notes due 2021F1,F2 | May 24, 2017 | P | 27,500 | $23,925.00 | A | — | I | See Footnote |
| Common Stock | holding | — | — | — | 127,618 | D | ||
| Common StockF3 | holding | — | — | — | 1,268,182 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 70,118 | I | See Footnote | |
| Common StockF5 | holding | — | — | — | 117,660 | I | See Footnote | |
| Common StockF6 | holding | — | — | — | 5,000 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 1,100 notes ($25 face amount per note) purchased by the Alvin Murstein Second Family Trust at $21.75 per note.
- F2Represents notes beneficially owned by the Alvin Murstein Second Family Trust of which Mr. Murstein is a co-trustee and the beneficiary.
- F3Represents 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.
- F4Represents shares beneficially owned by the Alvin Murstein Second Family Trust of which Mr. Murstein is a co-trustee and the beneficiary.
- F5Represents 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.
- F6Represents shares owned by Mr. Murstein's spouse.