Filing Details

Accession Number:
0001140361-22-019208
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-05-13 20:09:52
Reporting Period:
2022-05-11
Accepted Time:
2022-05-13 20:09:52
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1490349 Phenixfin Corp PFX () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1358538 A David Lorber C/O Phenixfin Corporation
445 Park Avenue, 10Th Floor
New York NY 10022
Chairman And Ceo No No No 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, $0.001 Par Value Acquisiton 2022-05-11 12,379 $38.88 59,533 No 4 P Direct
Common Stock, $0.001 Par Value Acquisiton 2022-05-12 204 $38.73 59,737 No 4 P Direct
Common Stock, $0.001 Par Value Acquisiton 2022-05-13 2,217 $38.64 61,954 No 4 P Direct
Common Stock, $0.001 Par Value Acquisiton 2022-05-13 1,200 $38.80 2,200 No 4 P Indirect By spouse
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
No 4 P Indirect By spouse
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, $0.001 Par Value 81,662 Indirect By FrontFour Master Fund, Ltd.
Common Stock, $0.001 Par Value 2,086 Indirect By FrontFour Opportunity Fund
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.78 to $38.96, 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.
  2. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.29 to $38.74, 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 (2) to this Form 4.
  3. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.31 to $38.80, 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.
  4. Shares owned directly by FrontFour Master Fund, Ltd. ("FrontFour Master Fund") and indirectly by David A. Lorber by virtue of his position as a managing member and principal owner of the investment manager of FrontFour Master Fund. Mr. Lorber disclaims beneficial ownership of the shares owned directly by FrontFour Master Fund except to the extent of his pecuniary interest therein.
  5. Shares owned directly by FrontFour Opportunity Fund ("FrontFour Opportunity Fund") and indirectly by David A. Lorber by virtue of his position as a principal owner of the investment manager of FrontFour Opportunity Fund. Mr. Lorber disclaims beneficial ownership of the shares owned directly by FrontFour Opportunity Fund except to the extent of his pecuniary interest therein.