David A. Lorber - 27 Aug 2021 Form 4 Insider Report for PhenixFIN Corp (PFX)

Role
Chairman & Chief Exec. Officer, Director
Signature
/s/ David A. Lorber
Issuer symbol
PFX
Transactions as of
27 Aug 2021
Net transactions value
+$104,243
Form type
4
Filing time
31 Aug 2021, 18:47:26 UTC
Previous filing
24 May 2021
Next filing
10 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFX Common Stock, $0.001 par value Purchase $16,595 +400 +3.5% $41.49 11,900 27 Aug 2021 Direct F1
transaction PFX Common Stock, $0.001 par value Purchase $87,648 +2,100 +18% $41.74 14,000 31 Aug 2021 Direct F2
holding PFX Common Stock, $0.001 par value 1,000 27 Aug 2021 By spouse
holding PFX Common Stock, $0.001 par value 81,662 27 Aug 2021 By FrontFour Master Fund, Ltd. F3
holding PFX Common Stock, $0.001 par value 2,086 27 Aug 2021 By FrontFour Opportunity Fund F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $41.45 to $41.50, 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) and (2) 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 $41.25 to $41.87, inclusive.
F3 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.
F4 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.