0000922423-21-000036.txt : 20210518 0000922423-21-000036.hdr.sgml : 20210518 20210518192953 ACCESSION NUMBER: 0000922423-21-000036 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210514 FILED AS OF DATE: 20210518 DATE AS OF CHANGE: 20210518 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lorber David A CENTRAL INDEX KEY: 0001358538 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00818 FILM NUMBER: 21937877 MAIL ADDRESS: STREET 1: C/O FRONTFOUR CAPITAL GROUP LLC STREET 2: 35 MASON STREET, 4TH FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PhenixFIN Corp CENTRAL INDEX KEY: 0001490349 IRS NUMBER: 274576073 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 445 PARK AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-759-0777 MAIL ADDRESS: STREET 1: 445 PARK AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: Medley Capital Corp DATE OF NAME CHANGE: 20110118 FORMER COMPANY: FORMER CONFORMED NAME: Medley Capital BDC LLC DATE OF NAME CHANGE: 20100426 4 1 form4.xml X0306 4 2021-05-14 0001490349 PhenixFIN Corp PFX 0001358538 Lorber David A C/O PHENIXFIN CORPORATION 445 PARK AVENUE, 9TH FLOOR NEW YORK NY 10022 true true Chairman & Chief Exec. Officer Common Stock, $0.001 par value 2021-05-14 4 P 0 407 36.6 A 407 D Common Stock, $0.001 par value 2021-05-14 4 P 0 593 37.6377 A 1000 D Common Stock, $0.001 par value 2021-05-14 4 P 0 2000 38.7999 A 3000 D Common Stock, $0.001 par value 2021-05-17 4 P 0 1000 38.0404 A 1000 I By spouse Common Stock, $0.001 par value 2021-05-18 4 P 0 4800 38.4239 A 7800 D Common Stock, $0.001 par value 81662.416 I By FrontFour Master Fund, Ltd. Common Stock, $0.001 par value 2085.7 I By FrontFour Opportunity Fund The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $37.448 to $37.90, inclusive. The reporting person undertakes to provide to PhenixFIN Corporation, any security holder of PhenixFIN Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.7499 to $38.8499, inclusive. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.2945 to $38.4999, inclusive. Shares owned directly by FrontFour Master Fund, Ltd. ("FrontFour Master Fund") and indirectly by David A. Lorber by virtue of his position as a managing member and principal owner of the investment manager of FrontFour Master Fund. Mr. Lorber disclaims beneficial ownership of the shares owned directly by FrontFour Master Fund except to the extent of his pecuniary interest therein. Shares owned directly by FrontFour Opportunity Fund ("FrontFour Opportunity Fund") and indirectly by David A. Lorber by virtue of his position as a principal owner of the investment manager of FrontFour Opportunity Fund. Mr. Lorber disclaims beneficial ownership of the shares owned directly by FrontFour Opportunity Fund except to the extent of his pecuniary interest therein. /s/ David A. Lorber 2021-05-18