person · Reporting owner

Taube Seth

Disclosed activity across 3 companies

Tapewire entity: 143645
SEC CIK: 0001510195

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
MEDLEY MANAGEMENT INC.MDLY · Entity 139384	Director · Co-CEO and CIO · 10% owner	January 17, 2021	January 20, 2021
PhenixFIN CorpMCC · Entity 6843	Director · 10% owner	October 25, 2019	October 29, 2019
Sierra Total Return FundSRNTX · Entity 175498	Director · Chief Executive Officer	June 01, 2017	June 05, 2017

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

MEDLEY MANAGEMENT INC.

Report date January 17, 2021 · Filed January 20, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	IndirectBy Freedom 2021 LLC	450,000	Reported balance After 2021-01-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2021-01-19 · Conversion · Acquired 450,000 · Balance 450,000 F1: The securities were distributed pursuant to court approval of a marital settlement order for a divorce. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife.
Medley LLC UnitsSEC Table II · derivative / convertible security	IndirectBy Trust	0	Reported balance After 2021-01-17 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2021-01-17 · Other · Disposed 818,181 · Balance 0 F2: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F1: The securities were distributed pursuant to court approval of a marital settlement order for a divorce. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. F3: These securities were held by a trust for which the reporting person serves as a trustee.
Medley LLC UnitsSEC Table II · derivative / convertible security	IndirectBy LLC	0	Reported balance After 2021-01-17 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2021-01-17 · Other · Disposed 90,909 · Balance 0 F2: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F1: The securities were distributed pursuant to court approval of a marital settlement order for a divorce. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. F4: These securities were held by a limited liability company, for which reporting person served as the managing member.
Medley LLC UnitsSEC Table II · derivative / convertible security	IndirectBy LLC	0	Reported balance After 2021-01-17 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2021-01-17 · Other · Disposed 90,909 · Balance 0 F2: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F1: The securities were distributed pursuant to court approval of a marital settlement order for a divorce. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. F5: These securities were held by a limited liability company, for which reporting person served as the managing member.
Medley LLC UnitsSEC Table II · derivative / convertible security	IndirectBy Freedom 2021 LLC	499,999	Reported balance After 2021-01-18 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2021-01-18 · Other · Acquired 499,999 · Balance 499,999 F2: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F6: Subsequent to and in connection with the court approval of a marital settlement agreement for a divorce, all Class A Medley LLC Units were transferred to a trust where reporting person is the sole trustee and beneficiary which trust then contributed the LLC Units to Freedom 2021 LLC.
Medley LLC UnitsSEC Table II · derivative / convertible security	IndirectBy Freedom 2021 LLC	49,999	Reported balance After 2021-01-19 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2021-01-19 · Conversion · Disposed 450,000 · Balance 49,999 F7: Each Class A Unit of Medley LLC was exchanged for one share of Class A Common Stock of Medley Management Inc. The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date.

Filing footnotes · ownership attribution and instrument terms

F1: The securities were distributed pursuant to court approval of a marital settlement order for a divorce. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife.

F2: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date.

F3: These securities were held by a trust for which the reporting person serves as a trustee.

F4: These securities were held by a limited liability company, for which reporting person served as the managing member.

F5: These securities were held by a limited liability company, for which reporting person served as the managing member.

F6: Subsequent to and in connection with the court approval of a marital settlement agreement for a divorce, all Class A Medley LLC Units were transferred to a trust where reporting person is the sole trustee and beneficiary which trust then contributed the LLC Units to Freedom 2021 LLC.

F7: Each Class A Unit of Medley LLC was exchanged for one share of Class A Common Stock of Medley Management Inc. The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date.

PhenixFIN Corp

Report date October 25, 2019 · Filed October 29, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectBy Medley Seed Funding I LLC	0	Last balance in matching sequence After 2019-10-28 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2019-10-25 · Sale · Disposed 1,778,588 · Balance 5,978,350 F2: The disposition of shares of common stock was in connection with the Master Investment Agreement as described in footnote (1) and there was no consideration paid in connection with the disposition reported herein. F1: Prior to October 28, 2019, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, held 7,756,938 shares of common stock acquired pursuant to a Master Investment Agreement, dated as of June 3, 2016 (the "Master Investment Agreement"), among Medley LLC, Medley Seed Funding I LLC, Medley Seed Funding II LLC, Medley Seed Funding III LLC, DB MED Investor I LLC and DB MED Investor II LLC. The Reporting Person, together with Brook Taube, controls Medley LLC and previously disclaimed beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. On October 25, 2019 and October 28, 2019, in accordance with its obligations under the Master Investment Agreement, Medley Seed Funding I LLC distributed 1,778,588 and 5,978,350 shares of common stock, respectively, held by it to DB MED Investor I LLC. As a result of the foregoing, Medley Seed Funding I LLC does not beneficially own any shares of common Stock. Row 2 · 2019-10-28 · Sale · Disposed 5,978,350 · Balance 0 F2: The disposition of shares of common stock was in connection with the Master Investment Agreement as described in footnote (1) and there was no consideration paid in connection with the disposition reported herein. F1: Prior to October 28, 2019, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, held 7,756,938 shares of common stock acquired pursuant to a Master Investment Agreement, dated as of June 3, 2016 (the "Master Investment Agreement"), among Medley LLC, Medley Seed Funding I LLC, Medley Seed Funding II LLC, Medley Seed Funding III LLC, DB MED Investor I LLC and DB MED Investor II LLC. The Reporting Person, together with Brook Taube, controls Medley LLC and previously disclaimed beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. On October 25, 2019 and October 28, 2019, in accordance with its obligations under the Master Investment Agreement, Medley Seed Funding I LLC distributed 1,778,588 and 5,978,350 shares of common stock, respectively, held by it to DB MED Investor I LLC. As a result of the foregoing, Medley Seed Funding I LLC does not beneficially own any shares of common Stock.
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectSee Footnote	142,510	Reported balance Holding disclosure · report date 2019-10-25 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 142,510 F3: These securities are held by a trust for the benefit of the Reporting Person's family, for which the Reporting Person serves as a trustee.
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectSee Footnote	35,000	Reported balance Holding disclosure · report date 2019-10-25 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 35,000 F4: These securities are held by The Seth and Angie Taube Foundation, Inc., which is a 501(c)(3) charitable organization.

Filing footnotes · ownership attribution and instrument terms

F1: Prior to October 28, 2019, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, held 7,756,938 shares of common stock acquired pursuant to a Master Investment Agreement, dated as of June 3, 2016 (the "Master Investment Agreement"), among Medley LLC, Medley Seed Funding I LLC, Medley Seed Funding II LLC, Medley Seed Funding III LLC, DB MED Investor I LLC and DB MED Investor II LLC. The Reporting Person, together with Brook Taube, controls Medley LLC and previously disclaimed beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. On October 25, 2019 and October 28, 2019, in accordance with its obligations under the Master Investment Agreement, Medley Seed Funding I LLC distributed 1,778,588 and 5,978,350 shares of common stock, respectively, held by it to DB MED Investor I LLC. As a result of the foregoing, Medley Seed Funding I LLC does not beneficially own any shares of common Stock.

F2: The disposition of shares of common stock was in connection with the Master Investment Agreement as described in footnote (1) and there was no consideration paid in connection with the disposition reported herein.

F3: These securities are held by a trust for the benefit of the Reporting Person's family, for which the Reporting Person serves as a trustee.

F4: These securities are held by The Seth and Angie Taube Foundation, Inc., which is a 501(c)(3) charitable organization.

Sierra Total Return Fund

Report date June 01, 2017 · Filed June 05, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class T Shares of Beneficial InterestSEC Table I · non-derivative	IndirectBy Medley Seed Funding II LLC	80,000	Reported balance After 2017-06-01 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2017-06-01 · Purchase · Acquired 80,000 · Balance 80,000 F1: On June 1, 2017, Medley Seed Funding II LLC, a limited liability company controlled by Medley LLC, purchased 80,000 Class T shares of beneficial interest. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.
Class T Shares of Beneficial InterestSEC Table I · non-derivative	IndirectSee Footnote 2	4,000	Reported balance Holding disclosure · report date 2017-06-01 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 4,000 F2: On August 10, 2016, STRF Advisors LLC (the "Adviser") purchased 10,000 Class T shares of beneficial interest for an aggregate purchase price of $100,000. On November 4, 2016, the Board of Trustees approved a reverse split of beneficial interests in the Class T shares that resulted in a NAV of $25.00 per Class T share. As a result, the number of Class T shares owned by the Adviser was reduced from 10,000 to 4,000, effective as of November 4, 2016. The Adviser is controlled by Medley LLC. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: On June 1, 2017, Medley Seed Funding II LLC, a limited liability company controlled by Medley LLC, purchased 80,000 Class T shares of beneficial interest. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.

F2: On August 10, 2016, STRF Advisors LLC (the "Adviser") purchased 10,000 Class T shares of beneficial interest for an aggregate purchase price of $100,000. On November 4, 2016, the Board of Trustees approved a reverse split of beneficial interests in the Class T shares that resulted in a NAV of $25.00 per Class T share. As a result, the number of Class T shares owned by the Adviser was reduced from 10,000 to 4,000, effective as of November 4, 2016. The Adviser is controlled by Medley LLC. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
January 19, 2021 Filed Jan 20, 2021 16:09 UTC	MEDLEY MANAGEMENT INC. MDLY · Entity 139384	ConversionMedley LLC Units · Derivative	450,000	$0.00	$0.00	Disclosure SEC source: 0000905718-21-000073 · medleymgmt_fm4jan172021.xml · derivative · entry 6 Taube Seth · CIK 0001510195 · Director · Co-CEO and CIO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Freedom 2021 LLC Disclosed balance after: 49,999 Underlying: Class A Common Stock · 450,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_price: Each Class A Unit of Medley LLC was exchanged for one share of Class A Common Stock of Medley Management Inc. The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. F7 · derivative.exercise_date: Each Class A Unit of Medley LLC was exchanged for one share of Class A Common Stock of Medley Management Inc. The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. F7 · derivative.expiration_date: Each Class A Unit of Medley LLC was exchanged for one share of Class A Common Stock of Medley Management Inc. The Medley LLC Units were convertible at any time on a one-for-one basis and had no expiration date. Read SEC document
January 19, 2021 Filed Jan 20, 2021 16:09 UTC	MEDLEY MANAGEMENT INC. MDLY · Entity 139384	ConversionClass A Common Stock	450,000	Not disclosed	Not disclosed	Disclosure SEC source: 0000905718-21-000073 · medleymgmt_fm4jan172021.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director · Co-CEO and CIO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Freedom 2021 LLC Disclosed balance after: 450,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The securities were distributed pursuant to court approval of a marital settlement order for a divorce. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. Read SEC document
January 18, 2021 Filed Jan 20, 2021 16:09 UTC	MEDLEY MANAGEMENT INC. MDLY · Entity 139384	OtherMedley LLC Units · Derivative	499,999	$0.00	$0.00	Disclosure SEC source: 0000905718-21-000073 · medleymgmt_fm4jan172021.xml · derivative · entry 5 Taube Seth · CIK 0001510195 · Director · Co-CEO and CIO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Freedom 2021 LLC Disclosed balance after: 499,999 Underlying: Class A Common Stock · 499,999 shares Expires not disclosed F2 · derivative.exercise_price: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F6 · kind: Subsequent to and in connection with the court approval of a marital settlement agreement for a divorce, all Class A Medley LLC Units were transferred to a trust where reporting person is the sole trustee and beneficiary which trust then contributed the LLC Units to Freedom 2021 LLC. F2 · derivative.exercise_date: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F2 · derivative.expiration_date: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. Read SEC document
January 17, 2021 Filed Jan 20, 2021 16:09 UTC	MEDLEY MANAGEMENT INC. MDLY · Entity 139384	OtherMedley LLC Units · Derivative	90,909	$0.00	$0.00	Disclosure SEC source: 0000905718-21-000073 · medleymgmt_fm4jan172021.xml · derivative · entry 4 Taube Seth · CIK 0001510195 · Director · Co-CEO and CIO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 90,909 shares Expires not disclosed F2 · derivative.exercise_price: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F1 · kind: The securities were distributed pursuant to court approval of a marital settlement order for a divorce. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. F2 · derivative.exercise_date: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F2 · derivative.expiration_date: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F5 · ownership.nature: These securities were held by a limited liability company, for which reporting person served as the managing member. Read SEC document
January 17, 2021 Filed Jan 20, 2021 16:09 UTC	MEDLEY MANAGEMENT INC. MDLY · Entity 139384	OtherMedley LLC Units · Derivative	90,909	$0.00	$0.00	Disclosure SEC source: 0000905718-21-000073 · medleymgmt_fm4jan172021.xml · derivative · entry 3 Taube Seth · CIK 0001510195 · Director · Co-CEO and CIO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 90,909 shares Expires not disclosed F2 · derivative.exercise_price: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F1 · kind: The securities were distributed pursuant to court approval of a marital settlement order for a divorce. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. F2 · derivative.exercise_date: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F2 · derivative.expiration_date: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F4 · ownership.nature: These securities were held by a limited liability company, for which reporting person served as the managing member. Read SEC document
January 17, 2021 Filed Jan 20, 2021 16:09 UTC	MEDLEY MANAGEMENT INC. MDLY · Entity 139384	OtherMedley LLC Units · Derivative	818,181	$0.00	$0.00	Disclosure SEC source: 0000905718-21-000073 · medleymgmt_fm4jan172021.xml · derivative · entry 2 Taube Seth · CIK 0001510195 · Director · Co-CEO and CIO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Class A Common Stock · 818,181 shares Expires not disclosed F2 · derivative.exercise_price: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F1 · kind: The securities were distributed pursuant to court approval of a marital settlement order for a divorce. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife. F2 · derivative.exercise_date: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F2 · derivative.expiration_date: Pursuant to the terms of an exchange agreement, each Class A Unit of Medley is exchangeable for one share of Class A Common Stock of Medley Management Inc on a one-for-one basis and have no expiration date. F3 · ownership.nature: These securities were held by a trust for which the reporting person serves as a trustee. Read SEC document
October 28, 2019 Filed Oct 29, 2019 20:13 UTC	PhenixFIN Corp MCC · Entity 6843	SaleCommon Stock, par value $0.001 per share	5,978,350	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-19-021383 · ownership.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 0 F2 · price: The disposition of shares of common stock was in connection with the Master Investment Agreement as described in footnote (1) and there was no consideration paid in connection with the disposition reported herein. F1 · ownership.nature: Prior to October 28, 2019, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, held 7,756,938 shares of common stock acquired pursuant to a Master Investment Agreement, dated as of June 3, 2016 (the "Master Investment Agreement"), among Medley LLC, Medley Seed Funding I LLC, Medley Seed Funding II LLC, Medley Seed Funding III LLC, DB MED Investor I LLC and DB MED Investor II LLC. The Reporting Person, together with Brook Taube, controls Medley LLC and previously disclaimed beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. On October 25, 2019 and October 28, 2019, in accordance with its obligations under the Master Investment Agreement, Medley Seed Funding I LLC distributed 1,778,588 and 5,978,350 shares of common stock, respectively, held by it to DB MED Investor I LLC. As a result of the foregoing, Medley Seed Funding I LLC does not beneficially own any shares of common Stock. Read SEC document
October 25, 2019 Filed Oct 29, 2019 20:13 UTC	PhenixFIN Corp MCC · Entity 6843	SaleCommon Stock, par value $0.001 per share	1,778,588	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-19-021383 · ownership.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 5,978,350 F2 · price: The disposition of shares of common stock was in connection with the Master Investment Agreement as described in footnote (1) and there was no consideration paid in connection with the disposition reported herein. F1 · ownership.nature: Prior to October 28, 2019, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, held 7,756,938 shares of common stock acquired pursuant to a Master Investment Agreement, dated as of June 3, 2016 (the "Master Investment Agreement"), among Medley LLC, Medley Seed Funding I LLC, Medley Seed Funding II LLC, Medley Seed Funding III LLC, DB MED Investor I LLC and DB MED Investor II LLC. The Reporting Person, together with Brook Taube, controls Medley LLC and previously disclaimed beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. On October 25, 2019 and October 28, 2019, in accordance with its obligations under the Master Investment Agreement, Medley Seed Funding I LLC distributed 1,778,588 and 5,978,350 shares of common stock, respectively, held by it to DB MED Investor I LLC. As a result of the foregoing, Medley Seed Funding I LLC does not beneficially own any shares of common Stock. Read SEC document
July 10, 2017 Filed Jul 12, 2017 21:03 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	12,109	$6.40	$77,481.86	Disclosure SEC source: 0001144204-17-036575 · v470723_4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 7,756,938 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.35 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 07/10/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 12,109 shares of Medley Capital Corporation common stock. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
July 07, 2017 Filed Jul 7, 2017 23:43 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	92,116	$6.35	$584,927.39	Disclosure SEC source: 0001144204-17-036171 · v470537_form4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 7,744,829 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.27 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 07/05/2017, 07/06/2017 and 07/07/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 50,049, 105,932, and 92,116 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
July 06, 2017 Filed Jul 7, 2017 23:43 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	105,932	$6.38	$676,100.40	Disclosure SEC source: 0001144204-17-036171 · v470537_form4.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 7,652,713 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.36 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 07/05/2017, 07/06/2017 and 07/07/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 50,049, 105,932, and 92,116 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
July 05, 2017 Filed Jul 7, 2017 23:43 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	50,049	$6.40	$320,313.60	Disclosure SEC source: 0001144204-17-036171 · v470537_form4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 7,546,781 F1 · ownership.nature: On 07/05/2017, 07/06/2017 and 07/07/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 50,049, 105,932, and 92,116 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
July 03, 2017 Filed Jul 3, 2017 21:14 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	14,999	$6.40	$95,993.60	Disclosure SEC source: 0001144204-17-035487 · v470276_4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 7,496,732 F1 · ownership.nature: On 06/29/2017, 06/30/2017 and 07/03/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 33,114, 3,039, and 14,999 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 30, 2017 Filed Jul 3, 2017 21:14 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	3,039	$6.40	$19,449.60	Disclosure SEC source: 0001144204-17-035487 · v470276_4.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 7,481,733 F1 · ownership.nature: On 06/29/2017, 06/30/2017 and 07/03/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 33,114, 3,039, and 14,999 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 29, 2017 Filed Jul 3, 2017 21:14 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	33,114	$6.40	$211,899.80	Disclosure SEC source: 0001144204-17-035487 · v470276_4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 7,478,694 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.39 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/29/2017, 06/30/2017 and 07/03/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 33,114, 3,039, and 14,999 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 28, 2017 Filed Jun 29, 2017 01:27 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	102,152	$6.36	$649,972.75	Disclosure SEC source: 0001144204-17-034729 · v469978_4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 7,445,580 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.33 to $6.40 inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/26/2017, 06/27/2017 and 06/28/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 38,287, 136,154, and 102,152 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 27, 2017 Filed Jun 29, 2017 01:27 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	136,154	$6.35	$863,937.98	Disclosure SEC source: 0001144204-17-034729 · v469978_4.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 7,343,428 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.30 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/26/2017, 06/27/2017 and 06/28/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 38,287, 136,154, and 102,152 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 26, 2017 Filed Jun 29, 2017 01:27 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	38,287	$6.39	$244,607.99	Disclosure SEC source: 0001144204-17-034729 · v469978_4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 7,207,274 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.37 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/26/2017, 06/27/2017 and 06/28/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 38,287, 136,154, and 102,152 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 23, 2017 Filed Jun 23, 2017 22:37 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	117,833	$6.33	$745,352.64	Disclosure SEC source: 0001144204-17-033900 · v469585_form4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 7,168,987 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.27 to $6.38 inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/21/2017, 06/22/2017 and 06/23/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 153,711, 153,711, and 117,833 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 22, 2017 Filed Jun 23, 2017 22:37 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	153,711	$6.26	$962,215.49	Disclosure SEC source: 0001144204-17-033900 · v469585_form4.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 7,051,154 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.23 to $6.28, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/21/2017, 06/22/2017 and 06/23/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 153,711, 153,711, and 117,833 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 21, 2017 Filed Jun 23, 2017 22:37 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	153,711	$6.24	$958,572.54	Disclosure SEC source: 0001144204-17-033900 · v469585_form4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 6,897,443 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.20 to $6.30, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/21/2017, 06/22/2017 and 06/23/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 153,711, 153,711, and 117,833 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 20, 2017 Filed Jun 21, 2017 00:44 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	153,711	$6.34	$974,712.19	Disclosure SEC source: 0001144204-17-033341 · v469370_4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 6,743,732 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.25 to $6.40 inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/16/2017, 06/19/2017 and 06/20/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 95,713, and 153,711 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 19, 2017 Filed Jun 21, 2017 00:44 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	95,713	$6.39	$611,826.21	Disclosure SEC source: 0001144204-17-033341 · v469370_4.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 6,590,021 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.37 to $6.40, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/16/2017, 06/19/2017 and 06/20/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 95,713, and 153,711 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 16, 2017 Filed Jun 21, 2017 00:44 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	162,212	$6.32	$1,025,406.94	Disclosure SEC source: 0001144204-17-033341 · v469370_4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 6,494,308 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.29 to $6.35, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/16/2017, 06/19/2017 and 06/20/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 95,713, and 153,711 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 15, 2017 Filed Jun 16, 2017 00:10 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	162,212	$6.26	$1,014,863.16	Disclosure SEC source: 0001144204-17-032799 · v469115_form4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 6,332,096 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.17 to $6.30 inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/13/2017, 06/14/2017 and 06/15/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 143,497, and 162,212 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 14, 2017 Filed Jun 16, 2017 00:10 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	143,497	$6.24	$895,579.13	Disclosure SEC source: 0001144204-17-032799 · v469115_form4.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 6,169,884 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.19 to $6.29, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/13/2017, 06/14/2017 and 06/15/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 143,497, and 162,212 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 13, 2017 Filed Jun 16, 2017 00:10 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	162,212	$6.26	$1,014,733.39	Disclosure SEC source: 0001144204-17-032799 · v469115_form4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 6,026,387 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.17 to $6.31, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/13/2017, 06/14/2017 and 06/15/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 162,212, 143,497, and 162,212 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 12, 2017 Filed Jun 13, 2017 01:44 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	162,212	$6.18	$1,001,740.21	Disclosure SEC source: 0001144204-17-032208 · v468875_4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 5,864,175 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.13 to $6.20 inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/08/2017, 06/09/2017 and 06/12/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 194,967, 194,967, and 162,212 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 09, 2017 Filed Jun 13, 2017 01:44 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	194,967	$6.14	$1,196,590.47	Disclosure SEC source: 0001144204-17-032208 · v468875_4.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 5,701,963 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.08 to $6.20, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/08/2017, 06/09/2017 and 06/12/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 194,967, 194,967, and 162,212 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 08, 2017 Filed Jun 13, 2017 01:44 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	194,967	$6.15	$1,198,384.16	Disclosure SEC source: 0001144204-17-032208 · v468875_4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 5,506,996 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.09 to $6.19, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/08/2017, 06/09/2017 and 06/12/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 194,967, 194,967, and 162,212 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 07, 2017 Filed Jun 8, 2017 00:05 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	194,967	$6.09	$1,187,816.95	Disclosure SEC source: 0001144204-17-031598 · v468658_form4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 5,312,029 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.02 to $6.14, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/05/2017, 06/0//2017 and 06/07/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 194,967, 194,967, and 194,967 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 06, 2017 Filed Jun 8, 2017 00:05 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	194,967	$6.06	$1,181,246.56	Disclosure SEC source: 0001144204-17-031598 · v468658_form4.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 5,117,062 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.96 to $6.13, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/05/2017, 06/0//2017 and 06/07/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 194,967, 194,967, and 194,967 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 05, 2017 Filed Jun 8, 2017 00:05 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	194,967	$6.08	$1,185,028.92	Disclosure SEC source: 0001144204-17-031598 · v468658_form4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 4,922,095 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.03 to $6.12, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 06/05/2017, 06/0//2017 and 06/07/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 194,967, 194,967, and 194,967 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 02, 2017 Filed Jun 2, 2017 23:16 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	169,029	$6.12	$1,035,235.01	Disclosure SEC source: 0001144204-17-030898 · v468371_form4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 4,291,001 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.08 to $6.17, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/31/2017, 06/01/2017 and 06/02/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 117,298, 169,029, and 169,029 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 01, 2017 Filed Jun 2, 2017 23:16 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	169,029	$6.14	$1,037,280.26	Disclosure SEC source: 0001144204-17-030898 · v468371_form4.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 4,121,972 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.08 to $6.16, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/31/2017, 06/01/2017 and 06/02/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 117,298, 169,029, and 169,029 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
June 01, 2017 Filed Jun 5, 2017 17:16 UTC	Sierra Total Return Fund SRNTX · Entity 175498	PurchaseClass T Shares of Beneficial Interest	80,000	$25.00	$2,000,000.00	Disclosure SEC source: 0001665056-17-000009 · wf-form4_149669739951915.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding II LLC Disclosed balance after: 80,000 F1 · security: On June 1, 2017, Medley Seed Funding II LLC, a limited liability company controlled by Medley LLC, purchased 80,000 Class T shares of beneficial interest. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein. Read SEC document
May 31, 2017 Filed Jun 2, 2017 23:16 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	117,298	$6.11	$716,632.13	Disclosure SEC source: 0001144204-17-030898 · v468371_form4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 3,952,943 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.05 to $6.14, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/31/2017, 06/01/2017 and 06/02/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 117,298, 169,029, and 169,029 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
May 30, 2017 Filed May 31, 2017 00:20 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	169,029	$6.10	$1,031,753.02	Disclosure SEC source: 0001144204-17-030251 · v468122_4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 4,271,772 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.03 to $6.13, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/25/2017, 05/26/2017 and 05/30/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 133,549, 133,549 and 169,029 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
May 26, 2017 Filed May 31, 2017 00:20 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	133,549	$6.06	$808,959.71	Disclosure SEC source: 0001144204-17-030251 · v468122_4.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 4,102,743 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.00 to $6.12, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/25/2017, 05/26/2017 and 05/30/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 133,549, 133,549 and 169,029 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
May 25, 2017 Filed May 31, 2017 00:20 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	133,549	$6.08	$811,390.30	Disclosure SEC source: 0001144204-17-030251 · v468122_4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 3,969,194 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.00 to $6.17, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/25/2017, 05/26/2017 and 05/30/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 133,549, 133,549 and 169,029 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
May 24, 2017 Filed May 24, 2017 23:53 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	133,549	$6.11	$815,450.19	Disclosure SEC source: 0001144204-17-029407 · v467805_4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 3,835,645 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.99 to $6.20, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/22/2017, 05/23/2017 and 05/24/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 133,549, 124,927, and 133,549 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
May 23, 2017 Filed May 24, 2017 23:53 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	124,927	$6.13	$765,964.92	Disclosure SEC source: 0001144204-17-029407 · v467805_4.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 3,702,096 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.08 to $6.17, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/22/2017, 05/23/2017 and 05/24/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 133,549, 124,927, and 133,549 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
May 22, 2017 Filed May 24, 2017 23:53 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	133,549	$6.15	$821,085.96	Disclosure SEC source: 0001144204-17-029407 · v467805_4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 3,577,169 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.07 to $6.18, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/22/2017, 05/23/2017 and 05/24/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 133,549, 124,927, and 133,549 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
May 19, 2017 Filed May 20, 2017 00:22 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	101,376	$6.22	$630,122.80	Disclosure SEC source: 0001144204-17-028712 · v467550_form4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 3,443,620 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.14 to $6.30, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/17/2017, 05/18/2017 and 05/19/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 101,376, 101,376, and 101,376 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
May 18, 2017 Filed May 20, 2017 00:22 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	101,376	$6.23	$632,069.22	Disclosure SEC source: 0001144204-17-028712 · v467550_form4.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 3,342,244 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.13 to $6.32, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/17/2017, 05/18/2017 and 05/19/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 101,376, 101,376, and 101,376 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
May 17, 2017 Filed May 20, 2017 00:22 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	101,376	$6.15	$623,644.88	Disclosure SEC source: 0001144204-17-028712 · v467550_form4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 3,240,868 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.09 to $6.22, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/17/2017, 05/18/2017 and 05/19/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 101,376, 101,376, and 101,376 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
May 16, 2017 Filed May 17, 2017 01:18 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	94,986	$6.16	$585,351.23	Disclosure SEC source: 0001144204-17-028050 · v467254_4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 3,139,492 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.09 to $6.22, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/12/2017, 05/15/2017 and 05/16/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 80,000, 55,151 and 94,986 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
May 15, 2017 Filed May 17, 2017 01:18 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	55,151	$6.14	$338,853.26	Disclosure SEC source: 0001144204-17-028050 · v467254_4.xml · nonDerivative · entry 2 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 3,044,506 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.09 to $6.20, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/12/2017, 05/15/2017 and 05/16/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 80,000, 55,151 and 94,986 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
May 12, 2017 Filed May 17, 2017 01:18 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	80,000	$6.18	$494,000.00	Disclosure SEC source: 0001144204-17-028050 · v467254_4.xml · nonDerivative · entry 1 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 2,989,355 F1 · ownership.nature: On 05/12/2017, 05/15/2017 and 05/16/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 80,000, 55,151 and 94,986 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document
May 11, 2017 Filed May 11, 2017 22:49 UTC	PhenixFIN Corp MCC · Entity 6843	PurchaseCommon Stock, par value $0.001 per share	49,869	$6.16	$307,088.32	Disclosure SEC source: 0001144204-17-026551 · v466839_4.xml · nonDerivative · entry 3 Taube Seth · CIK 0001510195 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Medley Seed Funding I LLC Disclosed balance after: 2,909,355 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.10 to $6.22, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F1 · ownership.nature: On 05/09/2017, 05/10/2017 and 05/11/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 49,869, 49,869 and 49,869 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with Brook Taube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.