SEC Form 4 · accession 0001140361-16-082782
MVC CAPITAL, INC. · MVC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert C Knapp
Director
Period of report
Oct 12, 2016
Accepted (ET)
Oct 14, 2016 · 3:11 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 12, 2016 | P | 20,000 | $8.7147 | A | 320,765 | I | See footnote |
| Common Stock, $.01 par valueF1 | Oct 13, 2016 | J | 28,254 | $0.00 | A | 349,019 | I | See footnote |
| Common Stock, $.01 par valueF1 | Oct 13, 2016 | J | 5,036 | $0.00 | A | 354,055 | I | See footnote |
| Common Stock, $.01 par valueF3 | Oct 13, 2016 | J | 14,691 | $0.00 | A | 368,746 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1By Ironsides Holdings LLC, which is wholly-owned by the Reporting Person.
- F2Indirect liquidating distribution from Ironsides Partners Opportunity Master Fund LP, which was controlled by the Reporting Person, and which distribution is an exempt transaction pursuant to Rule 16a-13.
- F3By RCK Holdings II LLC, of which Reporting Person is trustee and the beneficiaries are the Reporting Person's children.