0001140361-22-019208.txt : 20220513 0001140361-22-019208.hdr.sgml : 20220513 20220513200952 ACCESSION NUMBER: 0001140361-22-019208 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220511 FILED AS OF DATE: 20220513 DATE AS OF CHANGE: 20220513 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: 22924820 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 FORM 4 X0306 4 2022-05-11 0001490349 PhenixFIN Corp PFX 0001358538 Lorber David A C/O PHENIXFIN CORPORATION 445 PARK AVENUE, 10TH FLOOR NEW YORK NY 10022 true true CHAIRMAN AND CEO Common Stock, $0.001 par value 2022-05-11 4 P 0 12379 38.8826 A 59533 D Common Stock, $0.001 par value 2022-05-12 4 P 0 204 38.7262 A 59737 D Common Stock, $0.001 par value 2022-05-13 4 P 0 2217 38.6389 A 61954 D Common Stock, $0.001 par value 2022-05-13 4 P 0 1200 38.8 A 2200 I By spouse 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 $38.78 to $38.96, 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 footnote (1) 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 $38.29 to $38.74, 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 footnote (2) 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 $38.31 to $38.80, 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 footnote (3) to this Form 4. 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 2022-05-13