0001213900-19-021383.txt : 20191029 0001213900-19-021383.hdr.sgml : 20191029 20191029161306 ACCESSION NUMBER: 0001213900-19-021383 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191025 FILED AS OF DATE: 20191029 DATE AS OF CHANGE: 20191029 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Taube Seth CENTRAL INDEX KEY: 0001510195 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00818 FILM NUMBER: 191176373 MAIL ADDRESS: STREET 1: C/O MEDLEY CAPITAL STREET 2: 375 PARK AVENUE, SUITE 3304 CITY: NEW YORK STATE: NY ZIP: 10152 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Medley Capital Corp CENTRAL INDEX KEY: 0001490349 IRS NUMBER: 274576073 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 280 PARK AVENUE STREET 2: 6TH FLOOR EAST CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-759-0777 MAIL ADDRESS: STREET 1: 280 PARK AVENUE STREET 2: 6TH FLOOR EAST CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: Medley Capital BDC LLC DATE OF NAME CHANGE: 20100426 4 1 ownership.xml X0306 4 2019-10-25 0 0001490349 Medley Capital Corp MCC 0001510195 Taube Seth C/O MEDLEY LLC 280 PARK AVENUE, 6TH FLOOR EAST NEW YORK NY 10017 1 0 1 0 Common Stock, par value $0.001 per share 2019-10-25 4 S 0 1778588 D 5978350 I By Medley Seed Funding I LLC Common Stock, par value $0.001 per share 2019-10-28 4 S 0 5978350 D 0 I By Medley Seed Funding I LLC Common Stock, par value $0.001 per share 142510 I See Footnote Common Stock, par value $0.001 per share 35000 I See Footnote Prior to October 28, 2019, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, held 7,756,938 shares of common stock acquired pursuant to a Master Investment Agreement, dated as of June 3, 2016 (the "Master Investment Agreement"), among Medley LLC, Medley Seed Funding I LLC, Medley Seed Funding II LLC, Medley Seed Funding III LLC, DB MED Investor I LLC and DB MED Investor II LLC. The Reporting Person, together with Brook Taube, controls Medley LLC and previously disclaimed beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. On October 25, 2019 and October 28, 2019, in accordance with its obligations under the Master Investment Agreement, Medley Seed Funding I LLC distributed 1,778,588 and 5,978,350 shares of common stock, respectively, held by it to DB MED Investor I LLC. As a result of the foregoing, Medley Seed Funding I LLC does not beneficially own any shares of common Stock. The disposition of shares of common stock was in connection with the Master Investment Agreement as described in footnote (1) and there was no consideration paid in connection with the disposition reported herein. These securities are held by a trust for the benefit of the Reporting Person's family, for which the Reporting Person serves as a trustee. These securities are held by The Seth and Angie Taube Foundation, Inc., which is a 501(c)(3) charitable organization. /s/ Seth Taube 2019-10-29