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 19, 2021 | January 20, 2021 |
| PhenixFIN CorpMCC · Entity 6843 | Director · Chief Executive Officer · 10% owner | October 25, 2019 | October 29, 2019 |
| Sierra Total Return FundSRNTX · Entity 175498 | Director | 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 19, 2021 · Filed January 20, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectBy Sandy Point LLC | 999,999 |
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 999,999 · Balance 999,999 F1: Each Class A Unit of Medley LLC ("Medley LLC Unit") 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. F2: Shares previously reported as held indirectly by Reporting Person in a limited liability company and a trust, both of which were controlled by Reporting Person. Reporting Person is the Managing Member and owns 98% of Sandy Point LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| Medley LLC UnitsSEC Table II · derivative / convertible security | IndirectBy Sandy Point LLC | 0 |
Reported balance
After 2021-01-19 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-01-19 · Conversion · Disposed 999,999 · Balance 0 F1: Each Class A Unit of Medley LLC ("Medley LLC Unit") 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. F2: Shares previously reported as held indirectly by Reporting Person in a limited liability company and a trust, both of which were controlled by Reporting Person. Reporting Person is the Managing Member and owns 98% of Sandy Point LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Class A Unit of Medley LLC ("Medley LLC Unit") 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.
F2: Shares previously reported as held indirectly by Reporting Person in a limited liability company and a trust, both of which were controlled by Reporting Person. Reporting Person is the Managing Member and owns 98% of Sandy Point LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
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 Seth 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 Seth 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 | 190,000 |
Reported balance
Holding disclosure · report date 2019-10-25 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 190,000 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. |
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 Seth 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.
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 Seth 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 Seth 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 Seth 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 Seth 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 |
|---|---|---|---|---|---|---|
| January 19, 2021 Filed Jan 20, 2021 16:06 UTC | MEDLEY MANAGEMENT INC. MDLY · Entity 139384 | ConversionMedley LLC Units · Derivative | 999,999 | $0.00 | $0.00 |
DisclosureSEC source: 0000905718-21-000069 · medleymgmt_fm4jan2021.xml · derivative · entry 2 Taube Brook · CIK 0001510194 · Director · Co-CEO and CIO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sandy Point LLC Disclosed balance after: 0 Underlying: Class A Common Stock · 999,999 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. F1 · derivative.exercise_price: Each Class A Unit of Medley LLC ("Medley LLC Unit") 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. F1 · derivative.exercise_date: Each Class A Unit of Medley LLC ("Medley LLC Unit") 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. F1 · derivative.expiration_date: Each Class A Unit of Medley LLC ("Medley LLC Unit") 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. F2 · ownership.nature: Shares previously reported as held indirectly by Reporting Person in a limited liability company and a trust, both of which were controlled by Reporting Person. Reporting Person is the Managing Member and owns 98% of Sandy Point LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| January 19, 2021 Filed Jan 20, 2021 16:06 UTC | MEDLEY MANAGEMENT INC. MDLY · Entity 139384 | ConversionClass A Common Stock | 999,999 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-21-000069 · medleymgmt_fm4jan2021.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Co-CEO and CIO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Sandy Point LLC Disclosed balance after: 999,999 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: Each Class A Unit of Medley LLC ("Medley LLC Unit") 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. F2 · ownership.nature: Shares previously reported as held indirectly by Reporting Person in a limited liability company and a trust, both of which were controlled by Reporting Person. Reporting Person is the Managing Member and owns 98% of Sandy Point LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| October 28, 2019 Filed Oct 29, 2019 20:10 UTC | PhenixFIN Corp MCC · Entity 6843 | SaleCommon Stock, par value $0.001 per share | 5,978,350 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-19-021381 · ownership.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 Seth 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 20:10 UTC | PhenixFIN Corp MCC · Entity 6843 | SaleCommon Stock, par value $0.001 per share | 1,778,588 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-19-021381 · ownership.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 Seth 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 21:05 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 12,109 | $6.40 | $77,481.86 |
DisclosureSEC source: 0001144204-17-036578 · v470724_4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 Seth 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 23:45 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 92,116 | $6.35 | $584,927.39 |
DisclosureSEC source: 0001144204-17-036172 · v470538_form4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 SethTaube, 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 23:45 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 105,932 | $6.38 | $676,100.40 |
DisclosureSEC source: 0001144204-17-036172 · v470538_form4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 SethTaube, 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 23:45 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 50,049 | $6.40 | $320,313.60 |
DisclosureSEC source: 0001144204-17-036172 · v470538_form4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 SethTaube, 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 21:13 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 14,999 | $6.40 | $95,993.60 |
DisclosureSEC source: 0001144204-17-035486 · v470275_4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 SethTaube, 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 21:13 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 3,039 | $6.40 | $19,449.60 |
DisclosureSEC source: 0001144204-17-035486 · v470275_4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 SethTaube, 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 21:13 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 33,114 | $6.40 | $211,899.80 |
DisclosureSEC source: 0001144204-17-035486 · v470275_4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 SethTaube, 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 01:29 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 102,152 | $6.36 | $649,972.75 |
DisclosureSEC source: 0001144204-17-034730 · v469979_4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · 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 SethTaube, 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 01:29 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 136,154 | $6.35 | $863,937.98 |
DisclosureSEC source: 0001144204-17-034730 · v469979_4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · 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 SethTaube, 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 01:29 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 38,287 | $6.39 | $244,607.99 |
DisclosureSEC source: 0001144204-17-034730 · v469979_4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · 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 SethTaube, 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 |
DisclosureSEC source: 0001144204-17-033899 · v469584_form4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 SethTaube, 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 |
DisclosureSEC source: 0001144204-17-033899 · v469584_form4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 SethTaube, 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 |
DisclosureSEC source: 0001144204-17-033899 · v469584_form4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 SethTaube, 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 |
DisclosureSEC source: 0001144204-17-033342 · v469373_4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 SethTaube, 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 |
DisclosureSEC source: 0001144204-17-033342 · v469373_4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 SethTaube, 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 |
DisclosureSEC source: 0001144204-17-033342 · v469373_4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer · 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 SethTaube, 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 |
DisclosureSEC source: 0001144204-17-032798 · v469114_form4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 |
DisclosureSEC source: 0001144204-17-032798 · v469114_form4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 |
DisclosureSEC source: 0001144204-17-032798 · v469114_form4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 01:45 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 162,212 | $6.18 | $1,001,740.21 |
DisclosureSEC source: 0001144204-17-032209 · v468876_4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 01:45 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 194,967 | $6.14 | $1,196,590.47 |
DisclosureSEC source: 0001144204-17-032209 · v468876_4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 01:45 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 194,967 | $6.15 | $1,198,384.16 |
DisclosureSEC source: 0001144204-17-032209 · v468876_4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 00:04 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 194,967 | $6.09 | $1,187,816.95 |
DisclosureSEC source: 0001144204-17-031597 · v468657_form4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 00:04 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 194,967 | $6.06 | $1,181,246.56 |
DisclosureSEC source: 0001144204-17-031597 · v468657_form4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 00:04 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 194,967 | $6.08 | $1,185,028.92 |
DisclosureSEC source: 0001144204-17-031597 · v468657_form4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 23:17 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 169,029 | $6.12 | $1,035,235.01 |
DisclosureSEC source: 0001144204-17-030899 · v468367_4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 23:17 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 169,029 | $6.14 | $1,037,280.26 |
DisclosureSEC source: 0001144204-17-030899 · v468367_4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 17:17 UTC | Sierra Total Return Fund SRNTX · Entity 175498 | PurchaseClass T Shares of Beneficial Interest | 80,000 | $25.00 | $2,000,000.00 |
DisclosureSEC source: 0001665056-17-000010 · wf-form4_149669746149070.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director 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 Seth 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 23:17 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 117,298 | $6.11 | $716,632.13 |
DisclosureSEC source: 0001144204-17-030899 · v468367_4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 |
DisclosureSEC source: 0001144204-17-030250 · v468121_4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 |
DisclosureSEC source: 0001144204-17-030250 · v468121_4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 |
DisclosureSEC source: 0001144204-17-030250 · v468121_4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 23:54 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 133,549 | $6.11 | $815,450.19 |
DisclosureSEC source: 0001144204-17-029408 · v467806_4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 23:54 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 124,927 | $6.13 | $765,964.92 |
DisclosureSEC source: 0001144204-17-029408 · v467806_4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 23:54 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 133,549 | $6.15 | $821,085.96 |
DisclosureSEC source: 0001144204-17-029408 · v467806_4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 00:21 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 101,376 | $6.22 | $630,122.80 |
DisclosureSEC source: 0001144204-17-028711 · v467548_form4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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, and101,376 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, 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 00:21 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 101,376 | $6.23 | $632,069.22 |
DisclosureSEC source: 0001144204-17-028711 · v467548_form4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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, and101,376 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, 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 00:21 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 101,376 | $6.15 | $623,644.88 |
DisclosureSEC source: 0001144204-17-028711 · v467548_form4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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, and101,376 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, 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 01:17 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 94,986 | $6.16 | $585,351.23 |
DisclosureSEC source: 0001144204-17-028049 · v467253_4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 01:17 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 55,151 | $6.14 | $338,853.26 |
DisclosureSEC source: 0001144204-17-028049 · v467253_4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 01:17 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 80,000 | $6.18 | $494,000.00 |
DisclosureSEC source: 0001144204-17-028049 · v467253_4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 |
DisclosureSEC source: 0001144204-17-026552 · v466841_4.xml · nonDerivative · entry 3 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 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: 0001144204-17-026552 · v466841_4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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: 0001144204-17-026552 · v466841_4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 SethTaube, 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 01:49 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 11,660 | $7.50 | $87,450.00 |
DisclosureSEC source: 0001144204-17-015699 · v462281_form4.xml · nonDerivative · entry 2 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 03/7/2017, 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 SethTaube, 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 01:49 UTC | PhenixFIN Corp MCC · Entity 6843 | PurchaseCommon Stock, par value $0.001 per share | 400 | $7.50 | $3,000.00 |
DisclosureSEC source: 0001144204-17-015699 · v462281_form4.xml · nonDerivative · entry 1 Taube Brook · CIK 0001510194 · Director · Chief Executive Officer 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 03/7/2017, 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 SethTaube, 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.