Statement of Changes in Beneficial Ownership (4)
18 Maio 2021 - 8:30PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Lorber David A |
2. Issuer Name and Ticker or Trading Symbol
PhenixFIN Corp
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PFX
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chairman & Chief Exec. Officer |
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(Last)
(First)
(Middle)
C/O PHENIXFIN CORPORATION, 445 PARK AVENUE, 9TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/14/2021 |
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(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock, $0.001 par value | 5/14/2021 | | P | | 407 | A | $36.6 | 407 | D | |
| Common Stock, $0.001 par value | 5/14/2021 | | P | | 593 | A | $37.6377 (1) | 1000 | D | |
| Common Stock, $0.001 par value | 5/14/2021 | | P | | 2000 | A | $38.7999 (2) | 3000 | D | |
| Common Stock, $0.001 par value | 5/17/2021 | | P | | 1000 | A | $38.0404 | 1000 | I | By spouse |
| Common Stock, $0.001 par value | 5/18/2021 | | P | | 4800 | A | $38.4239 (3) | 7800 | D | |
| Common Stock, $0.001 par value | | | | | | | | 81662.416 | I | By FrontFour Master Fund, Ltd. (4) |
| Common Stock, $0.001 par value | | | | | | | | 2085.7 | I | By FrontFour Opportunity Fund (5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $37.448 to $37.90, 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 footnotes (1), (2) and (3) 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 $38.7499 to $38.8499, inclusive. |
| (3) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.2945 to $38.4999, inclusive. |
| (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. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Lorber David A
C/O PHENIXFIN CORPORATION
445 PARK AVENUE, 9TH FLOOR
NEW YORK, NY 10022 | X |
| Chairman & Chief Exec. Officer |
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Signatures
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| /s/ David A. Lorber | | 5/18/2021 |
| **Signature of Reporting Person | Date |
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