0000899243-16-035304.txt : 20161212 0000899243-16-035304.hdr.sgml : 20161212 20161212163940 ACCESSION NUMBER: 0000899243-16-035304 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161208 FILED AS OF DATE: 20161212 DATE AS OF CHANGE: 20161212 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MEDALLION FINANCIAL CORP CENTRAL INDEX KEY: 0001000209 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 043291176 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 437 MADISON AVE 38 TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123282153 MAIL ADDRESS: STREET 1: 437 MADISON AVENUE STREET 2: 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MURSTEIN ALVIN CENTRAL INDEX KEY: 0001000210 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00188 FILM NUMBER: 162046681 BUSINESS ADDRESS: STREET 1: 205 EAST 42ND STREET STREET 2: SUITE 2000 CITY: NEW YORK STATE: NY ZIP: 10017 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-12-08 0 0001000209 MEDALLION FINANCIAL CORP MFIN 0001000210 MURSTEIN ALVIN C/O MEDALLION FINANCIAL CORP. 437 MADISON AVENUE NEW YORK NY 10022 1 1 0 0 Chairman & CEO Common Stock 2016-12-08 4 S 0 60000 3.5802 D 119074 D Common Stock 2016-12-08 4 P 0 60000 3.5988 A 1228182 I See Footnote Common Stock 2016-12-09 4 S 0 40000 3.6616 D 79074 D Common Stock 2016-12-09 4 P 0 40000 3.6981 A 1268182 I See Footnote Common Stock 70118 I See Footnote Common Stock 117660 I See Footnote Common Stock 5000 I See Footnote For tax planning purposes, Mr. Murstein sold these shares that he held directly and purchased the equivalent amount of shares through a family trust, as described in Note (2) below. In accordance with Section 16(b) of the Securities Exchange Act of 1934, as amended, Mr. Murstein has disgorged to Medallion Financial Corp. short-swing profits from such transaction in the amount of $2,512.00. Represents shares beneficially owned by the Alvin Murstein Second Family Trust registered in the name of Morgan Stanley of which Mr. Murstein is a co-trustee and the beneficiary. Represents shares beneficially owned by the Alvin Murstein Second Family Trust of which Mr. Murstein is a co-trustee and the beneficiary. Represents beneficially owned by the Aileen J. Murstein Family 2012 Trust of which Mr. Murstein is the grantor and Mr. Murstein's spouse is a co-trustee and the beneficiary. Represents shares owned by Mr. Murstein's spouse. /s/Alvin Murstein 2016-12-12