[Form 4] PhenixFIN Corporation 5.25% Notes due 2028 Insider Trading Activity
Insider Trade Summary
Net Buyer: 639 shares
Net Buy
10 txns
Insider
Amster Howard
Role
Director, 10% Owner
Bought
639 shs ($32K)
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Purchase | Common Stock, $0.001 par value | 315 | $48.64 | $15K |
| Purchase | Common Stock, $0.001 par value | 167 | $49.87 | $8K |
| Purchase | Common Stock, $0.001 par value | 157 | $50.04 | $8K |
| holding | Common Stock, $0.001 par value | -- | -- | -- |
| holding | Common Stock, $0.001 par value | -- | -- | -- |
| holding | Common Stock, $0.001 par value | -- | -- | -- |
| holding | Common Stock, $0.001 par value | -- | -- | -- |
| holding | Common Stock, $0.001 par value | -- | -- | -- |
| holding | Common Stock, $0.001 par value | -- | -- | -- |
| holding | Common Stock, $0.001 par value | -- | -- | -- |
Holdings After Transaction:
Common Stock, $0.001 par value — 234,608 shares (Direct);
Common Stock, $0.001 par value — 409 shares (Indirect, By Howard Amster 2021 Charitable Remainder Unitrust 1);
Common Stock, $0.001 par value — 10,971 shares (Indirect, By Howard Amster 2021 Charitable Remainder Unitrust 2);
Common Stock, $0.001 par value — 109 shares (Indirect, By Howard Amster and Tamra Gould Charitable Remainder Unitrust U/A DTD 03/18/1993);
Common Stock, $0.001 par value — 676 shares (Indirect, By Howard Amster Charitable Remainder Unitrust U/A DTD 04/22/1998);
Common Stock, $0.001 par value — 41 shares (Indirect, By Howard Amster Charitable Remainder Unitrust U/A DTD 01/11/2005);
Common Stock, $0.001 par value — 557 shares (Indirect, By Pleasant Lake Corp);
Common Stock, $0.001 par value — 16,604 shares (Indirect, By Howard Amster 2019 Charitable Remainder Unitrust 1)
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 $48.12 to $48.64, 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.
- F2. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $49.74 to $49.96, 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.
- F3. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $50.01 to $50.14, 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.
- 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 1.
- F5. 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.
- F6. 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.
- 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 04/22/1998.
- F8. 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.
- F9. These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as President of Pleasant Lake Corp.
- F10. 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.
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