SEC Form 4 · accession 0001144204-16-128393

PhenixFIN Corp · PFX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Oct 13, 2016

Accepted (ET)

Oct 17, 2016 · 8:12 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 share^F1	Oct 13, 2016	P	2,450	$7.60	A	1,312,097	I	By Medley Seed Funding I LLC
Common Stock, par value $0.001 per share^F2,F1	Oct 17, 2016	P	2,000	$7.593	A	1,314,097	I	By Medley Seed Funding I LLC
Common Stock, par value $0.001 per share^F3	holding	—	—		—	142,510	I	See Footnote
Common Stock, par value $0.001 per share^F4	holding	—	—		—	35,000	I	See Footnote

No Table II lines on this filing.

F1On 10/13/16 and 10/17/16, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 2,450 and 2,000 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook 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.
F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.59 to $7.60, 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.
F3These securities are held by a trust for the benefit of the Reporting Person's family, for which the Reporting Person serves as a trustee.
F4These securities are held by The Seth and Angie Taube Foundation, Inc., which is a 501(c)(3) charitable organization.