0001140361-23-030340.txt : 20230616 0001140361-23-030340.hdr.sgml : 20230616 20230616201840 ACCESSION NUMBER: 0001140361-23-030340 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230614 FILED AS OF DATE: 20230616 DATE AS OF CHANGE: 20230616 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Amster Howard CENTRAL INDEX KEY: 0000904853 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00818 FILM NUMBER: 231023013 MAIL ADDRESS: STREET 1: 23811 CHAGRIN BLVD # 200 CITY: BEACHWOOD STATE: OH ZIP: 44122-5525 FORMER NAME: FORMER CONFORMED NAME: AMSTER HOWARD DATE OF NAME CHANGE: 19970311 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 X0407 4 2023-06-14 0001490349 PhenixFIN Corp PFX 0000904853 Amster Howard C/O PHENIXFIN CORPORATION 445 PARK AVENUE, 10TH FLOOR NEW YORK NY 10022 true true false Common Stock, $0.001 par value 2023-06-14 4 P 0 501 34.97 A 501 I By Howard Amster 2019 Charitable Remainder Unitrust 1 Common Stock, $0.001 par value 2023-06-14 4 P 0 2702 35.63 A 3203 I By Howard Amster 2019 Charitable Remainder Unitrust 1 Common Stock, $0.001 par value 2023-06-15 4 P 0 1275 36.27 A 4478 I By Howard Amster 2019 Charitable Remainder Unitrust 1 Common Stock, $0.001 par value 2023-06-15 4 P 0 12126 36.99 A 16604 I By Howard Amster 2019 Charitable Remainder Unitrust 1 Common Stock, $0.001 par value 239724 D Common Stock, $0.001 par value 409 I By Howard Amster 2021 Charitable Remainder Unitrust 1 Common Stock, $0.001 par value 11700 I By Howard Amster 2021 Charitable Remainder Unitrust 2 Common Stock, $0.001 par value 275 I By Howard Amster and Tamra Gould Charitable Remainder Unitrust U/A DTD 03/18/1993 Common Stock, $0.001 par value 960 I By Howard Amster Charitable Remainder Unitrust U/A DTD 04/22/1998 Common Stock, $0.001 par value 41 I By Howard Amster Charitable Remainder Unitrust U/A DTD 01/11/2005 Common Stock, $0.001 par value 200 I By Samuel J. Heller Trust U/A 08/07/2002 Common Stock, $0.001 par value 557 I By Pleasant Lake Corp The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $34.25 to $35.23, 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. These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster 2019 Charitable Remainder Unitrust 1. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $35.30 to $35.90, 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 footnote (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 $35.75 to $36.45, 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 (4) 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 $36.94 to $37.00, 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 (5) to this Form 4. These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster 2021 Charitable Remainder Unitrust 1. These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster 2021 Charitable Remainder Unitrust 2. These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster and Tamra Gould Charitable Remainder Unitrust U/A DTD 03/18/1993. These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster Charitable Remainder Unitrust U/A DTD 04/22/1998. These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster Charitable Remainder Unitrust U/A DTD 01/11/2005. These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as a trustee of the Samuel J. Heller Trust U/A 08/07/2002. These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as President of Pleasant Lake Corp. /s/ Howard Amster 2023-06-16