SEC Form 4 · accession 0001144204-17-015700
PhenixFIN Corp · PFX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Seth Taube
Director
Period of report
Mar 16, 2017
Accepted (ET)
Mar 20, 2017 · 9:50 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 | Mar 16, 2017 | P | 400 | $7.50 | A | 2,748,088 | I | By Medley Seed Funding I LLC |
| Common Stock, par value $0.001 per shareF1 | Mar 17, 2017 | P | 11,660 | $7.50 | A | 2,759,748 | I | By Medley Seed Funding I LLC |
| Common Stock, par value $0.001 per shareF2 | holding | — | — | — | 142,510 | 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
- F1On 03/16/2017 and 03/17/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 400 and 11,660 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.
- 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.
- F3These securities are held by The Seth and Angie Taube Foundation, Inc., which is a 501(c)(3) charitable organization.