Filing Details

Accession Number:
0001144204-17-035486
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-07-03 17:13:36
Reporting Period:
2017-06-29
Filing Date:
2017-07-03
Accepted Time:
2017-07-03 17:13:36
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1490349 Medley Capital Corp MCC () 274576073
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1510194 Brook Taube C/O Medley Llc
280 Park Avenue, 6Th Floor East
New York NY 10017
Chief Executive Officer Yes Yes Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.001 Per Share Acquisiton 2017-06-29 33,114 $6.40 7,478,694 No 4 P Indirect By Medley Seed Funding I LLC
Common Stock, Par Value $0.001 Per Share Acquisiton 2017-06-30 3,039 $6.40 7,481,733 No 4 P Indirect By Medley Seed Funding I LLC
Common Stock, Par Value $0.001 Per Share Acquisiton 2017-07-03 14,999 $6.40 7,496,732 No 4 P Indirect By Medley Seed Funding I LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Medley Seed Funding I LLC
No 4 P Indirect By Medley Seed Funding I LLC
No 4 P Indirect By Medley Seed Funding I LLC
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, Par Value $0.001 Per Share 190,000 Indirect See Footnote
Footnotes
  1. On 06/29/2017, 06/30/2017 and 07/03/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 33,114, 3,039, and 14,999 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.
  2. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.39 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
  3. 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.