David A. Lorber - 16 Aug 2022 Form 4/A - Amendment Insider Report for PhenixFIN Corp (PFX)

Role
CHAIRMAN AND CEO, Director
Signature
/s/ David A. Lorber
Issuer symbol
PFX
Transactions as of
16 Aug 2022
Net transactions value
+$150,943
Form type
4/A - Amendment
Filing time
18 Aug 2022, 21:08:26 UTC
Date Of Original Report
15 Aug 2022
Previous filing
15 Aug 2022
Next filing
30 Aug 2022
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 $36.51 +1 +0% $36.51 63,855 16 Aug 2022 Direct
transaction PFX Common Stock, $0.001 par value Purchase $26,254 +714 +1.1% $36.77 64,569 17 Aug 2022 Direct F1
transaction PFX Common Stock, $0.001 par value Purchase $124,653 +3,369 +5.2% $37.00 67,938 18 Aug 2022 Direct F2
holding PFX Common Stock, $0.001 par value 2,440 16 Aug 2022 By spouse
holding PFX Common Stock, $0.001 par value 81,662 16 Aug 2022 By FrontFour Master Fund, Ltd. F3
* 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 $36.40 to $36.85, 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 $36.81 to $37.11, 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 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.

Remarks:

The weighted average price of the direct purchases on 8/15/22 was incorrectly stated as $37.73 in the Form 4 filed on 8/15/22. It should have been $36.73. The purchase prices were correctly stated in footnote (3) to that Form 4.