Howard Amster - Jun 14, 2023 Form 4 Insider Report for PhenixFIN Corp (PFX)

Signature
/s/ Howard Amster
Stock symbol
PFX
Transactions as of
Jun 14, 2023
Transactions value $
$608,577
Form type
4
Date filed
6/16/2023, 08:18 PM
Previous filing
Mar 2, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFX Common Stock, $0.001 par value Purchase $17.5K +501 $34.97 501 Jun 14, 2023 By Howard Amster 2019 Charitable Remainder Unitrust 1 F1, F2
transaction PFX Common Stock, $0.001 par value Purchase $96.3K +2.7K +539.32% $35.63 3.2K Jun 14, 2023 By Howard Amster 2019 Charitable Remainder Unitrust 1 F2, F3
transaction PFX Common Stock, $0.001 par value Purchase $46.2K +1.28K +39.81% $36.27 4.48K Jun 15, 2023 By Howard Amster 2019 Charitable Remainder Unitrust 1 F2, F4
transaction PFX Common Stock, $0.001 par value Purchase $449K +12.1K +270.79% $36.99 16.6K Jun 15, 2023 By Howard Amster 2019 Charitable Remainder Unitrust 1 F2, F5
holding PFX Common Stock, $0.001 par value 240K Jun 14, 2023 Direct
holding PFX Common Stock, $0.001 par value 409 Jun 14, 2023 By Howard Amster 2021 Charitable Remainder Unitrust 1 F6
holding PFX Common Stock, $0.001 par value 11.7K Jun 14, 2023 By Howard Amster 2021 Charitable Remainder Unitrust 2 F7
holding PFX Common Stock, $0.001 par value 275 Jun 14, 2023 By Howard Amster and Tamra Gould Charitable Remainder Unitrust U/A DTD 03/18/1993 F8
holding PFX Common Stock, $0.001 par value 960 Jun 14, 2023 By Howard Amster Charitable Remainder Unitrust U/A DTD 04/22/1998 F9
holding PFX Common Stock, $0.001 par value 41 Jun 14, 2023 By Howard Amster Charitable Remainder Unitrust U/A DTD 01/11/2005 F10
holding PFX Common Stock, $0.001 par value 200 Jun 14, 2023 By Samuel J. Heller Trust U/A 08/07/2002 F11
holding PFX Common Stock, $0.001 par value 557 Jun 14, 2023 By Pleasant Lake Corp F12
* 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 $34.25 to $35.23, 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 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.
F3 The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $35.30 to $35.90, 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 (3) to this Form 4.
F4 The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $35.75 to $36.45, 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 (4) to this Form 4.
F5 The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $36.94 to $37.00, 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 (5) to this Form 4.
F6 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.
F7 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.
F8 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.
F9 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.
F10 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.
F11 These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as a trustee of the Samuel J. Heller Trust U/A 08/07/2002.
F12 These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as President of Pleasant Lake Corp.