Form 4 for PFX PhenixFIN Corp
Accepted 2023-06-16 00:00:00 ET · period of report 2023-06-14 · accession 0001140361-23-030340 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2023-06-16 | 2023-06-14+ | PFX | Amster Howard | Dir, 10% | P - Purchase | $36.65 | +16.6K | 501 | New | +$608.6K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, $0.001 par value | 2023-06-15 | P | A | 1,275 | $36.27 | 4,478 | I By Howard Amster 2019 Charitable Remainder Unitrust 1 | — | — | (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. (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. |
| 2 | Common | Common Stock, $0.001 par value | 2023-06-14 | P | A | 2,702 | $35.63 | 3,203 | I By 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. (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. |
| 3 | Common | Common Stock, $0.001 par value | 2023-06-15 | P | A | 12,126 | $36.99 | 16,604 | I By Howard Amster 2019 Charitable Remainder Unitrust 1 | — | — | (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. (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. |
| 4 | Common | Common Stock, $0.001 par value | 2023-06-14 | P | A | 501 | $34.97 | 501 | I By Howard Amster 2019 Charitable Remainder Unitrust 1 | — | — | (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. |