SEC Form 4 · accession 0001144204-16-122941
PhenixFIN Corp · PFX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brook Taube
Officer — Chief Executive Officer · Director
Period of report
Sep 1, 2016
Accepted (ET)
Sep 6, 2016 · 7:36 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 | Sep 1, 2016 | P | 20,000 | $7.49 | A | 530,947 | I | By Medley Seed Funding I LLC |
| Common Stock, par value $0.001 per shareF2 | holding | — | — | — | 190,000 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On 09/01/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 20,000 shares of Medley Capital Corporation common stock. The reporting person, together with Seth Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.
- F2These securities are held by a trust for the benefit of the Reporting Person's family, for which the Reporting Person serves as a trustee.