Amster Howard 4

Accession 0001140361-23-009851

CIK 0001490349other

View on SEC.gov Company Profile

Filed

Mar 1, 7:00 PM ET

Accepted

Mar 2, 9:51 PM ET

Size

14.7 KB

Accession

0001140361-23-009851

Insider Transaction Report

Form 4

Period: 2023-02-28

PhenixFIN CorpPFX

AMSTER HOWARD

Director10% Owner

Transactions

Purchase
Common Stock, $0.001 par value
2023-02-28$38.60/sh+1,850$71,410→ 232,888 total
Purchase
Common Stock, $0.001 par value
2023-03-01$38.90/sh+5,105$198,585→ 237,993 total

Holdings

Common Stock, $0.001 par value
(indirect: By Trust)
409
Common Stock, $0.001 par value
(indirect: By Trust)
275
Common Stock, $0.001 par value
(indirect: By Trust)
200
Common Stock, $0.001 par value
(indirect: By Pleasant Lake Corp)
557
Common Stock, $0.001 par value
(indirect: By Trust)
960
Common Stock, $0.001 par value
(indirect: By Trust)
41
Common Stock, $0.001 par value
(indirect: By Partnership)
1,731
Common Stock, $0.001 par value
(indirect: By Trust)
11,700

Footnotes (10)

[F1]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.00 to $38.99, 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.
[F10]These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as general partner of Amster Limited Partnership.
[F2]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.62 to $39.00, 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 (2) to this Form 4.
[F3]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.
[F4]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.
[F5]These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster and Tamara Gould Charitable Remainder Unitrust U/A DTD 03/18/1993.
[F6]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.
[F7]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.
[F8]These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of the Samuel Heller Trust U/A 08/07/2002.
[F9]These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as President of Pleasant Lake Corp.

Documents

1 file

4
form4.xmlPrimary

Issuer

PhenixFIN Corp

CIK 0001490349

→

Entity typeother

Related Parties

filerCIK 0000904853

Filing Metadata

Form type: 4
Filed: Mar 1, 7:00 PM ET
Accepted: Mar 2, 9:51 PM ET
Size: 14.7 KB

View on SEC.gov