Form 4 for PFX PhenixFIN Corp

Accepted 2023-03-02 00:00:00 ET · period of report 2023-02-28 · accession 0001140361-23-009851 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
M	2023-03-02	2023-02-28+	PFX	Amster Howard	Dir, 10%	P - Purchase	$38.82	+6,955	232.9K	+3%	+$270.0K

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock, $0.001 par value	2023-03-01	P	A	5,105	$38.90	237,993	D	—	—	(F2) The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.62 to $39.00, 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 (2) to this Form 4.
2	Common	Common Stock, $0.001 par value	2023-02-28	P	A	1,850	$38.60	232,888	D	—	—	(F1) The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.00 to $38.99, 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.