David A. Lorber - Dec 8, 2021 Form 4 Insider Report for PhenixFIN Corp (PFX)

Role
Chairman & Chief Exec. Officer, Director
Signature
/s/ David A. Lorber
Stock symbol
PFX
Transactions as of
Dec 8, 2021
Transactions value $
$1,290,000
Form type
4
Date filed
12/10/2021, 05:39 PM
Previous filing
Aug 31, 2021
Next filing
Feb 24, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFX Common Stock, $0.001 par value Purchase $1.29M +30K +214.29% $43.00 44K Dec 8, 2021 Direct
holding PFX Common Stock, $0.001 par value 1K Dec 8, 2021 By spouse
holding PFX Common Stock, $0.001 par value 81.7K Dec 8, 2021 By FrontFour Master Fund, Ltd. F1
holding PFX Common Stock, $0.001 par value 2.09K Dec 8, 2021 By FrontFour Opportunity Fund F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.