SEC Form 4 · accession 0000922423-18-000017
MVC CAPITAL, INC. · MVC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Phillip Goldstein
Director
Period of report
Oct 3, 2018
Accepted (ET)
Oct 5, 2018 · 5:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001099941
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, .01 par valueF1 | Oct 3, 2018 | S | 9,035 | $9.51 | D | 516,403 | I | Footnote |
| Common Stock, .01 par valueF1 | Oct 4, 2018 | S | 970 | $9.50 | D | 515,433 | I | Footnote |
| Common Stock, .01 par value | holding | — | — | — | 22,149 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Certain of the shares are held by certain private investment funds. The Reporting Person is a Principal of the general partner and/or investment adviser of each fund, and is a limited partner in certain of the funds. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.