SEC Form 4/A · accession 0000922423-18-000024
MVC CAPITAL, INC. · MVC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Phillip Goldstein
Director
Period of report
Oct 5, 2018
Accepted (ET)
Oct 10, 2018 · 7:08 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,F2 | 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
- F1The purpose of the amendment is to revise the footnote previously reported.
- F2The Reporting Person is a principal of the investment adviser to several private investment funds, a registered investment company, and other clients. The general partner (of which the Reporting Person is not a principal) of a private investment fund advised by such investment adviser recently determined to liquidate it. Consequently, the aforementioned investment adviser of that private investment fund is required to dispose of all of its assets, including its shares of MVC Capital. The Reporting Person disclaims any beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. The Reporting Person has not sold any shares of MVC Capital held that he holds directly.