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