SEC Form 4 · accession 0001140361-17-033295
MVC CAPITAL, INC. · MVC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Phillip Goldstein
Director
Period of report
Aug 23, 2017
Accepted (ET)
Aug 25, 2017 · 4:30 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 value | Aug 23, 2017 | D | 15,101 | $10.40 | D | 22,149 | D | |
| Common Stock, .01 par valueF1 | Aug 23, 2017 | D | 381,653 | $10.40 | D | 559,795 | I | Footnote |
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.