SEC Form 4 · accession 0001144204-15-034947
PhenixFIN Corp · PFX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Seth Taube
Director
Period of report
May 29, 2015
Accepted (ET)
Jun 1, 2015 · 6:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001490349
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per shareF1,F2 | May 29, 2015 | P | 24,913 | $9.4104 | A | 142,423 | I | See Footnote |
| Common Stock, par value $0.001 per shareF2 | Jun 1, 2015 | P | 87 | $9.325 | A | 142,038 | I | See Footnote |
| Common Stock, par value $0.001 per shareF3 | holding | — | — | — | 35,000 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.37 to $9.44, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- F2These securities are held by a Trust for a Reporting Person's family, for which the Reporting Person serves as trustee.
- F3These securities are held by The Seth and Angie Taube Foundation, Inc., which is a 501(c)(3) charitable organization