4//SEC Filing
Taube Brook 4
Accession 0001213900-19-021381
CIK 0001490349other
Filed
Oct 28, 8:00 PM ET
Accepted
Oct 29, 4:10 PM ET
Size
8.6 KB
Accession
0001213900-19-021381
Insider Transaction Report
Form 4
Taube Brook
DirectorChief Executive Officer
Transactions
- Sale
Common Stock, par value $0.001 per share
2019-10-25−1,778,588→ 5,978,350 total(indirect: By LLC) - Sale
Common Stock, par value $0.001 per share
2019-10-28−5,978,350→ 0 total(indirect: By LLC)
Holdings
- 190,000(indirect: See Footnote)
Common Stock, par value $0.001 per share
Footnotes (3)
- [F1]Prior to October 28, 2019, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, held 7,756,938 shares of common stock acquired pursuant to a Master Investment Agreement, dated as of June 3, 2016 (the "Master Investment Agreement"), among Medley LLC, Medley Seed Funding I LLC, Medley Seed Funding II LLC, Medley Seed Funding III LLC, DB MED Investor I LLC and DB MED Investor II LLC. The Reporting Person, together with Seth Taube, controls Medley LLC and previously disclaimed beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. On October 25, 2019 and October 28, 2019, in accordance with its obligations under the Master Investment Agreement, Medley Seed Funding I LLC distributed 1,778,588 and 5,978,350 shares of common stock, respectively, held by it to DB MED Investor I LLC. As a result of the foregoing, Medley Seed Funding I LLC does not beneficially own any shares of common Stock.
- [F2]The disposition of shares of common stock was in connection with the Master Investment Agreement as described in footnote (1) and there was no consideration paid in connection with the disposition reported herein.
- [F3]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.
Documents
Issuer
Medley Capital Corp
CIK 0001490349
Entity typeother
Related Parties
1- filerCIK 0001510194
Filing Metadata
- Form type
- 4
- Filed
- Oct 28, 8:00 PM ET
- Accepted
- Oct 29, 4:10 PM ET
- Size
- 8.6 KB