SEC Form 4 · accession 0001144204-16-130919
PhenixFIN Corp · PFX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Seth Taube
Director
Period of report
Oct 28, 2016
Accepted (ET)
Nov 1, 2016 · 8:30 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 shareF2,F1 | Oct 28, 2016 | P | 6,910 | $7.5784 | A | 1,332,851 | I | By Medley Seed Funding I LLC |
| Common Stock, par value $0.001 per shareF3,F1 | Oct 31, 2016 | P | 67,600 | $7.5505 | A | 1,400,451 | I | By Medley Seed Funding I LLC |
| Common Stock, par value $0.001 per shareF4,F1 | Nov 1, 2016 | P | 67,600 | $7.5633 | A | 1,468,051 | I | By Medley Seed Funding I LLC |
| Common Stock, par value $0.001 per shareF5 | holding | — | — | — | 142,510 | I | See Footnote | |
| Common Stock, par value $0.001 per shareF6 | holding | — | — | — | 35,000 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On 10/28/2016, 10/31/2016, and 11/01/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 6,910, 67,600, and 67,600 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 $7.57 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.
- F3The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.46 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.
- F4The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.54 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.
- F5These securities are held by a trust for the benefit of the Reporting Person's family, for which the Reporting Person serves as a trustee.
- F6These securities are held by The Seth and Angie Taube Foundation, Inc., which is a 501(c)(3) charitable organization.