SEC Form 4 · accession 0001140361-15-044153
MVC CAPITAL, INC. · MVC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Phillip Goldstein
Director
Period of report
Dec 8, 2015
Accepted (ET)
Dec 10, 2015 · 4:19 pm EST
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 | Dec 8, 2015 | J | 8,500 | $0.00 | D | 37,250 | D | |
| Common StockF1 | holding | — | — | — | 971,301 | I | Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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 investment adviser has sole voting and dispositive power over the reported securities. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.
- F2Shares of MVC Capital Inc. previously held in accounts held jointly by the Reporting Person with certain family members have been transferred out of such accounts and are now held individually by such family members. As a result, such shares will no longer be reported on the Reporting Person's Form 4's.