SEC Form 4 · accession 0000922423-18-000020
MVC CAPITAL, INC. · MVC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Phillip Goldstein
Director
Period of report
Oct 5, 2018
Accepted (ET)
Oct 9, 2018 · 4:41 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 5, 2018 | S | 65,957 | $9.43 | D | 449,476 | 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.