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Filing Details

Accession Number:: 0001140361-23-030340
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-06-16 20:18:40
Reporting Period:: 2023-06-14

Accepted Time:: 2023-06-16 20:18:40
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
904853	Howard Amster	C/O Phenixfin Corporation 445 Park Avenue, 10Th Floor New York NY 10022		No	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

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	2023-06-14	501	$34.97	501	No	4	P	Indirect	By Howard Amster 2019 Charitable Remainder Unitrust 1
Common Stock, $0.001 Par Value	Acquisiton	2023-06-14	2,702	$35.63	3,203	No	4	P	Indirect	By Howard Amster 2019 Charitable Remainder Unitrust 1
Common Stock, $0.001 Par Value	Acquisiton	2023-06-15	1,275	$36.27	4,478	No	4	P	Indirect	By Howard Amster 2019 Charitable Remainder Unitrust 1
Common Stock, $0.001 Par Value	Acquisiton	2023-06-15	12,126	$36.99	16,604	No	4	P	Indirect	By Howard Amster 2019 Charitable Remainder Unitrust 1

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Howard Amster 2019 Charitable Remainder Unitrust 1
No	4	P	Indirect	By Howard Amster 2019 Charitable Remainder Unitrust 1
No	4	P	Indirect	By Howard Amster 2019 Charitable Remainder Unitrust 1
No	4	P	Indirect	By Howard Amster 2019 Charitable Remainder Unitrust 1

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock, $0.001 Par Value	239,724	Direct
Common Stock, $0.001 Par Value	409	Indirect	By Howard Amster 2021 Charitable Remainder Unitrust 1
Common Stock, $0.001 Par Value	11,700	Indirect	By Howard Amster 2021 Charitable Remainder Unitrust 2
Common Stock, $0.001 Par Value	275	Indirect	By Howard Amster and Tamra Gould Charitable Remainder Unitrust U/A DTD 03/18/1993
Common Stock, $0.001 Par Value	960	Indirect	By Howard Amster Charitable Remainder Unitrust U/A DTD 04/22/1998
Common Stock, $0.001 Par Value	41	Indirect	By Howard Amster Charitable Remainder Unitrust U/A DTD 01/11/2005
Common Stock, $0.001 Par Value	200	Indirect	By Samuel J. Heller Trust U/A 08/07/2002
Common Stock, $0.001 Par Value	557	Indirect	By Pleasant Lake Corp

Footnotes

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.