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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 rowsRow 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 rowRow 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 rowRow 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 rowRow 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 rowRow 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 APIPurchases/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 |
|---|---|---|---|---|---|---|
| May 10, 2017 Filed May 11, 2017 22:49 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 49,869 | $6.19 | $308,748.95 |
DisclosureSEC source: 0001144204-17-026551 · v466839_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: 2,859,486 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 $6.39, 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 |
| May 09, 2017 Filed May 11, 2017 22:49 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 49,869 | $6.84 | $341,148.84 |
DisclosureSEC source: 0001144204-17-026551 · v466839_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: 2,809,617 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.31 to $7.15, 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 |
| March 17, 2017 Filed Mar 21, 2017 01:50 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 11,660 | $7.50 | $87,450.00 |
DisclosureSEC source: 0001144204-17-015700 · v462282_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: 2,759,748 F1 · ownership.nature: On 03/16/2017 and 03/17/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 400 and 11,660 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 |
| March 16, 2017 Filed Mar 21, 2017 01:50 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 400 | $7.50 | $3,000.00 |
DisclosureSEC source: 0001144204-17-015700 · v462282_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: 2,748,088 F1 · ownership.nature: On 03/16/2017 and 03/17/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 400 and 11,660 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 |
| March 15, 2017 Filed Mar 16, 2017 01:36 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 42,800 | $7.50 | $321,000.00 |
DisclosureSEC source: 0001144204-17-014856 · v461961_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: 2,747,688 F1 · ownership.nature: On 03/13/2017, 03/14/2017, 03/15/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 11,253, 39,270, and 42,800 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 |
| March 14, 2017 Filed Mar 16, 2017 01:36 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 39,270 | $7.50 | $294,525.00 |
DisclosureSEC source: 0001144204-17-014856 · v461961_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: 2,704,888 F1 · ownership.nature: On 03/13/2017, 03/14/2017, 03/15/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 11,253, 39,270, and 42,800 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 |
| March 13, 2017 Filed Mar 16, 2017 01:36 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 11,253 | $7.50 | $84,390.75 |
DisclosureSEC source: 0001144204-17-014856 · v461961_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: 2,665,618 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.49 to $7.50, 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 03/13/2017, 03/14/2017, 03/15/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 11,253, 39,270, and 42,800 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 |
| March 09, 2017 Filed Mar 10, 2017 00:48 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 76,845 | $7.47 | $574,362.58 |
DisclosureSEC source: 0001144204-17-013798 · v461580_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: 2,654,365 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.42 to $7.50, 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 03/07/2017, 03/08/2017, and 03/09/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 37,754, 3,081, and 76,845 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 |
| March 08, 2017 Filed Mar 10, 2017 00:48 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 3,081 | $7.50 | $23,107.50 |
DisclosureSEC source: 0001144204-17-013798 · v461580_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: 2,577,520 F1 · ownership.nature: On 03/07/2017, 03/08/2017, and 03/09/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 37,754, 3,081, and 76,845 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 |
| March 07, 2017 Filed Mar 10, 2017 00:48 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 37,754 | $7.50 | $283,064.39 |
DisclosureSEC source: 0001144204-17-013798 · v461580_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: 2,574,439 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.49 to $7.50, 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 03/07/2017, 03/08/2017, and 03/09/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 37,754, 3,081, and 76,845 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 |
| February 01, 2017 Filed Feb 2, 2017 00:50 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 14,835 | $7.49 | $111,065.19 |
DisclosureSEC source: 0001144204-17-005452 · v458202_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: 2,536,685 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.47 to $7.50, 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 01/30/2017, 01/31/2017, and 02/01/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 27,909, 63,937, and 14,835 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 |
| January 31, 2017 Filed Feb 2, 2017 00:50 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 63,937 | $7.48 | $478,178.43 |
DisclosureSEC source: 0001144204-17-005452 · v458202_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: 2,521,850 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.45 to $7.50, 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 01/30/2017, 01/31/2017, and 02/01/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 27,909, 63,937, and 14,835 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 |
| January 30, 2017 Filed Feb 2, 2017 00:50 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 27,909 | $7.50 | $209,314.71 |
DisclosureSEC source: 0001144204-17-005452 · v458202_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: 2,457,913 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.49 to $7.50, 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 01/30/2017, 01/31/2017, and 02/01/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 27,909, 63,937, and 14,835 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 |
| January 23, 2017 Filed Jan 23, 2017 23:54 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 17,826 | $7.50 | $133,693.22 |
DisclosureSEC source: 0001144204-17-003475 · v457409_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: 2,430,004 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.49 to $7.50, 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 01/19/2017, 01/20/2017, and 01/23/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 42,115, 6,644, and 17,826 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 |
| January 20, 2017 Filed Jan 23, 2017 23:54 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 6,644 | $7.49 | $49,789.47 |
DisclosureSEC source: 0001144204-17-003475 · v457409_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: 2,412,178 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.49 to $7.50, 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 01/19/2017, 01/20/2017, and 01/23/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 42,115, 6,644, and 17,826 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 |
| January 19, 2017 Filed Jan 23, 2017 23:54 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 42,115 | $7.50 | $315,862.50 |
DisclosureSEC source: 0001144204-17-003475 · v457409_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: 2,405,534 F1 · ownership.nature: On 01/19/2017, 01/20/2017, and 01/23/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 42,115, 6,644, and 17,826 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 |
| December 30, 2016 Filed Jan 5, 2017 02:15 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 16,077 | $7.45 | $119,829.92 |
DisclosureSEC source: 0001144204-17-000680 · v456277_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: 2,363,419 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.42 to $7.50, 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 12/30/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 16,077 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 |
| December 29, 2016 Filed Dec 30, 2016 02:04 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 60,886 | $7.44 | $452,967.49 |
DisclosureSEC source: 0001144204-16-141804 · v455968_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: 2,347,342 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.40 to $7.50, 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 12/27/2016, 12/28/2016, and 12/29/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 1,300, 21,564, and 60,886 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 |
| December 28, 2016 Filed Dec 30, 2016 02:04 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 21,564 | $7.49 | $161,516.52 |
DisclosureSEC source: 0001144204-16-141804 · v455968_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: 2,286,456 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.47 to $7.50, 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 12/27/2016, 12/28/2016, and 12/29/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 1,300, 21,564, and 60,886 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 |
| December 27, 2016 Filed Dec 30, 2016 02:04 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 1,300 | $7.49 | $9,731.02 |
DisclosureSEC source: 0001144204-16-141804 · v455968_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: 2,264,892 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.48 to $7.49, 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 12/27/2016, 12/28/2016, and 12/29/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 1,300, 21,564, and 60,886 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 |
| December 20, 2016 Filed Dec 22, 2016 01:34 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 15,136 | $7.49 | $113,377.72 |
DisclosureSEC source: 0001144204-16-140779 · v455527_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: 2,263,592 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.44 to $7.50, 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 12/19/2016 and 12/20/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 81,622 and 15,136 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 |
| December 19, 2016 Filed Dec 22, 2016 01:34 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 81,622 | $7.43 | $606,165.78 |
DisclosureSEC source: 0001144204-16-140779 · v455527_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: 2,248,456 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.31 to $7.47, 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 12/19/2016 and 12/20/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 81,622 and 15,136 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 |
| December 16, 2016 Filed Dec 17, 2016 00:09 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 90,838 | $7.31 | $663,889.52 |
DisclosureSEC source: 0001144204-16-140091 · v455211_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: 2,166,834 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.26 to $7.38, 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 12/14/2016, 12/15/2016 and 12/16/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 99,136, 99,136 and 90,838 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 |
| December 15, 2016 Filed Dec 17, 2016 00:09 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 99,136 | $7.23 | $717,209.31 |
DisclosureSEC source: 0001144204-16-140091 · v455211_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: 2,075,996 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.16 to $7.30, 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 12/14/2016, 12/15/2016 and 12/16/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 99,136, 99,136 and 90,838 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 |
| December 14, 2016 Filed Dec 17, 2016 00:09 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 99,136 | $7.19 | $713,025.77 |
DisclosureSEC source: 0001144204-16-140091 · v455211_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: 1,976,860 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.12 to $7.27, 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 12/14/2016, 12/15/2016 and 12/16/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 99,136, 99,136 and 90,838 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 |
| December 13, 2016 Filed Dec 14, 2016 01:36 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 99,136 | $7.13 | $706,472.88 |
DisclosureSEC source: 0001144204-16-139284 · v454957_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: 1,877,724 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.03 to $7.18, 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 12/09/2016 and 12/13/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 89,200 and 99,136 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 |
| December 09, 2016 Filed Dec 14, 2016 01:36 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 89,200 | $7.48 | $667,376.56 |
DisclosureSEC source: 0001144204-16-139284 · v454957_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: 1,778,588 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.43 to $7.50, 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 12/09/2016 and 12/13/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 89,200 and 99,136 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 |
| November 08, 2016 Filed Nov 10, 2016 02:54 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 8,037 | $7.58 | $60,910.01 |
DisclosureSEC source: 0001144204-16-132954 · v452701_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: 1,689,388 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.55 to $7.60, 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 11/07/2016 and 11/08/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 10,500 and 8,037 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 |
| November 07, 2016 Filed Nov 10, 2016 02:54 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 10,500 | $7.57 | $79,474.50 |
DisclosureSEC source: 0001144204-16-132954 · v452701_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: 1,681,351 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.56 to $7.57, 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 11/07/2016 and 11/08/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 10,500 and 8,037 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 |
| November 04, 2016 Filed Nov 4, 2016 23:11 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 67,600 | $7.44 | $502,876.40 |
DisclosureSEC source: 0001144204-16-131817 · v452317_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: 1,670,851 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.32 to $7.49, 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 11/02/2016, 11/03/2016, and 11/04/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 67,600, 67,600, and 67,600 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 |
| November 03, 2016 Filed Nov 4, 2016 23:11 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 67,600 | $7.48 | $505,735.88 |
DisclosureSEC source: 0001144204-16-131817 · v452317_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: 1,603,251 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.4275 to $7.53, 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 11/02/2016, 11/03/2016, and 11/04/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 67,600, 67,600, and 67,600 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 |
| November 02, 2016 Filed Nov 4, 2016 23:11 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 67,600 | $7.43 | $502,578.96 |
DisclosureSEC source: 0001144204-16-131817 · v452317_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: 1,535,651 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.33 to $7.59, 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 11/02/2016, 11/03/2016, and 11/04/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 67,600, 67,600, and 67,600 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 |
| November 01, 2016 Filed Nov 2, 2016 00:30 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 67,600 | $7.56 | $511,279.08 |
DisclosureSEC source: 0001144204-16-130919 · v451940_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: 1,468,051 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.54 to $7.60, 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 10/28/2016, 10/31/2016, and 11/01/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 6,910, 67,600, and 67,600 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 |
| October 31, 2016 Filed Nov 2, 2016 00:30 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 67,600 | $7.55 | $510,413.80 |
DisclosureSEC source: 0001144204-16-130919 · v451940_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: 1,400,451 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.46 to $7.60, 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 10/28/2016, 10/31/2016, and 11/01/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 6,910, 67,600, and 67,600 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 |
| October 28, 2016 Filed Nov 2, 2016 00:30 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 6,910 | $7.58 | $52,366.74 |
DisclosureSEC source: 0001144204-16-130919 · v451940_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: 1,332,851 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.57 to $7.60, 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 10/28/2016, 10/31/2016, and 11/01/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 6,910, 67,600, and 67,600 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 |
| October 20, 2016 Filed Oct 25, 2016 23:56 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 11,844 | $7.59 | $89,922.02 |
DisclosureSEC source: 0001144204-16-129457 · v451224_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: 1,325,941 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.57 to $7.60, 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 10/20/16, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 11,844 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 |
| October 17, 2016 Filed Oct 18, 2016 00:12 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 2,000 | $7.59 | $15,186.00 |
DisclosureSEC source: 0001144204-16-128393 · v450685_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: 1,314,097 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.59 to $7.60, 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 10/13/16 and 10/17/16, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 2,450 and 2,000 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 |
| October 13, 2016 Filed Oct 18, 2016 00:12 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 2,450 | $7.60 | $18,620.00 |
DisclosureSEC source: 0001144204-16-128393 · v450685_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: 1,312,097 F1 · ownership.nature: On 10/13/16 and 10/17/16, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 2,450 and 2,000 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 |
| October 06, 2016 Filed Oct 7, 2016 00:53 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 79,600 | $7.60 | $604,800.80 |
DisclosureSEC source: 0001144204-16-127289 · v450207_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: 1,309,647 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.57 to $7.60, 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 10/04/16 and 10/06/16, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 35,500 and 79,600 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 |
| October 04, 2016 Filed Oct 7, 2016 00:53 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 35,500 | $7.60 | $269,800.00 |
DisclosureSEC source: 0001144204-16-127289 · v450207_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: 1,230,047 F1 · ownership.nature: On 10/04/16 and 10/06/16, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 35,500 and 79,600 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 |
| September 16, 2016 Filed Sep 16, 2016 23:29 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 122,100 | $7.18 | $876,348.33 |
DisclosureSEC source: 0001144204-16-124313 · v448997_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: 1,194,547 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.02 to $7.27, 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. F2 · ownership.nature: On 09/14/16, 09/15/16, and 09/16/16, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 127,100, 32,100 and 122,100 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 |
| September 15, 2016 Filed Sep 16, 2016 23:29 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 32,100 | $7.17 | $230,227.62 |
DisclosureSEC source: 0001144204-16-124313 · v448997_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: 1,072,447 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.10 to $7.20, 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. F2 · ownership.nature: On 09/14/16, 09/15/16, and 09/16/16, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 127,100, 32,100 and 122,100 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 |
| September 14, 2016 Filed Sep 16, 2016 23:29 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 127,100 | $7.12 | $904,672.38 |
DisclosureSEC source: 0001144204-16-124313 · v448997_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: 1,040,347 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.14 to $7.20, 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. F2 · ownership.nature: On 09/14/16, 09/15/16, and 09/16/16, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 127,100, 32,100 and 122,100 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 |
| September 13, 2016 Filed Sep 13, 2016 23:05 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 122,100 | $7.07 | $863,247.00 |
DisclosureSEC source: 0001144204-16-123789 · v448766_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: 913,247 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.93 to $7.21, 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. F2 · ownership.nature: On 09/09/2016, 09/12/16, and 09/13/16, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 138,100, 122,100 and 122,100 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 |
| September 12, 2016 Filed Sep 13, 2016 23:05 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 122,100 | $7.25 | $884,883.12 |
DisclosureSEC source: 0001144204-16-123789 · v448766_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: 791,147 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.20 to $7.32, 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. F2 · ownership.nature: On 09/09/2016, 09/12/16, and 09/13/16, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 138,100, 122,100 and 122,100 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 |
| September 09, 2016 Filed Sep 13, 2016 23:05 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 138,100 | $7.42 | $1,025,226.78 |
DisclosureSEC source: 0001144204-16-123789 · v448766_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: 669,047 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.35 to $7.46, 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. F2 · ownership.nature: On 09/09/2016, 09/12/16, and 09/13/16, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 138,100, 122,100 and 122,100 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 |
| September 01, 2016 Filed Sep 6, 2016 23:37 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 20,000 | $7.49 | $149,800.00 |
DisclosureSEC source: 0001144204-16-122942 · v448411_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: 530,947 F1 · ownership.nature: On 09/01/2016, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 20,000 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.