PhenixFIN Corp — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Taube Seth | — | Purchase | 67,600 | $7.55 | $510,380 | 1,400,451 | Nov 1, 2016 |
| Taube Brook | Chief Executive Officer | Purchase | 6,910 | $7.58 | $52,378 | 1,332,851 | Nov 1, 2016 |
| Taube Seth | — | Purchase | 11,844 | $7.59 | $89,896 | 1,325,941 | Oct 20, 2016 |
| Taube Brook | Chief Executive Officer | Purchase | 11,844 | $7.59 | $89,896 | 1,325,941 | Oct 20, 2016 |
| Taube Seth | — | Purchase | 2,000 | $7.59 | $15,180 | 1,314,097 | Oct 13, 2016 |
| Taube Brook | Chief Executive Officer | Purchase | 2,000 | $7.59 | $15,180 | 1,314,097 | Oct 13, 2016 |
| Taube Seth | — | Purchase | 35,500 | $7.60 | $269,800 | 1,230,047 | Oct 6, 2016 |
| Taube Brook | Chief Executive Officer | Purchase | 35,500 | $7.60 | $269,800 | 1,230,047 | Oct 6, 2016 |
| Taube Seth | — | Purchase | 32,100 | $7.17 | $230,157 | 1,072,447 | Sep 14, 2016 |
| Taube Brook | Chief Executive Officer | Purchase | 32,100 | $7.17 | $230,157 | 1,072,447 | Sep 14, 2016 |
| Taube Brook | Chief Executive Officer | Purchase | 138,100 | $7.42 | $1,024,702 | 669,047 | Sep 12, 2016 |
| Taube Seth | — | Purchase | 122,100 | $7.07 | $863,247 | 913,247 | Sep 9, 2016 |
| Taube Seth | — | Purchase | 20,000 | $7.49 | $149,800 | 530,947 | Sep 1, 2016 |
| Taube Brook | Chief Executive Officer | Purchase | 20,000 | $7.49 | $149,800 | 530,947 | Sep 1, 2016 |
| Taube Seth | — | Purchase | 100,000 | $7.55 | $755,000 | 510,947 | Aug 22, 2016 |
| Taube Brook | Chief Executive Officer | Purchase | 100,000 | $7.55 | $755,000 | 510,947 | Aug 22, 2016 |
| Taube Brook | Chief Executive Officer | Purchase | 65,000 | $7.64 | $496,600 | 304,947 | Aug 19, 2016 |
| Taube Seth | — | Purchase | 65,000 | $7.64 | $496,600 | 304,947 | Aug 19, 2016 |
| Taube Brook | Chief Executive Officer | Purchase | 106,547 | $7.44 | $792,710 | 189,947 | Aug 12, 2016 |
| Taube Seth | — | Purchase | 106,547 | $7.44 | $792,710 | 189,947 | Aug 12, 2016 |
| Lyons Robert K | — | Purchase | 2,000 | $7.24 | $14,480 | 2,000 | Dec 15, 2015 |
| Taube Brook | Chief Executive Officer | Purchase | 86 | $9.36 | $805 | 190,000 | May 29, 2015 |
| Taube Seth | — | Purchase | 87 | $9.33 | $812 | 142,038 | May 29, 2015 |
| Tonkel Jeffrey B. | — | Purchase | 5,000 | $9.41 | $47,050 | 15,000 | May 29, 2015 |
| Allorto Richard T JR | Chief Financial Officer | Purchase | 5,000 | $9.34 | $46,700 | 20,000 | May 28, 2015 |
| Fredericks John D. | Chief Compliance Officer | Purchase | 1,000 | $9.29 | $9,290 | 4,000 | May 28, 2015 |
| Taube Seth | — | Purchase | 25,000 | $8.86 | $221,500 | 117,510 | Dec 12, 2014 |
| Taube Brook | Chief Executive Officer | Purchase | 25,000 | $8.86 | $221,500 | 165,000 | Dec 12, 2014 |
| Allorto Richard T JR | Chief Financial Officer | Purchase | 10,000 | $8.99 | $89,900 | 15,000 | Dec 11, 2014 |
| Tonkel Jeffrey B. | — | Purchase | 10,000 | $9.00 | $90,000 | 10,000 | Dec 11, 2014 |
| Fredericks John D. | Chief Compliance Officer | Purchase | 200 | $8.99 | $1,798 | 3,000 | Dec 11, 2014 |
| Taube Brook | President and CEO | Purchase | 3,312 | $12.39 | $41,036 | 140,000 | May 23, 2014 |
| Taube Brook | President and CEO | Purchase | 5,000 | $13.06 | $65,300 | 136,688 | Jun 12, 2013 |
| Taube Seth | — | Gift | 35,000 | — | — | 91,688 | Dec 28, 2012 |
| AINSBERG ARTHUR S | — | Purchase | 3,000 | $13.64 | $40,920 | 3,000 | Dec 13, 2012 |
| Taube Brook | Chief Executive Officer | Purchase | 5,000 | $11.13 | $55,650 | 25,000 | May 23, 2012 |
| Mack John Edward | — | Purchase | 1,000 | $11.03 | $11,030 | 1,000 | May 18, 2012 |
| Taube Brook | Chief Executive Officer | Purchase | 5,000 | $11.49 | $57,450 | 20,000 | May 9, 2012 |
| Taube Seth | — | Other | 40,317 | — | — | 40,317 | Apr 19, 2012 |
| Fentress Andrew | — | Other | 40,317 | — | — | 40,317 | Apr 19, 2012 |
| Taube Brook | Chief Executive Officer | Other | 40,317 | — | — | 40,317 | Apr 19, 2012 |
| Medley Opportunity Fund Ltd. | — | Sale | 3,897,244 | $10.68 | $41,622,566 | 879,414 | Feb 23, 2012 |
| Allorto Richard T JR | Chief Financial Officer | Purchase | 5,000 | $9.50 | $47,500 | 5,000 | Dec 21, 2011 |
| Fentress Andrew | — | Purchase | 10,000 | $9.50 | $95,000 | 13,000 | Dec 21, 2011 |
| Taube Brook | Chief Executive Officer | Purchase | 10,000 | $9.50 | $95,000 | 15,000 | Dec 21, 2011 |
| Taube Seth | — | Purchase | 5,000 | $10.40 | $52,000 | — | Aug 10, 2011 |
| Taube Brook | Chief Executive Officer | Purchase | 5,000 | $10.33 | $51,650 | 5,000 | Aug 9, 2011 |
| Fentress Andrew | — | Purchase | 3,000 | $10.27 | $30,810 | 3,000 | Aug 9, 2011 |
| Medley Opportunity Fund Ltd. | — | Sale | 406,762 | $11.59 | $4,714,372 | 4,776,658 | Jun 28, 2011 |
| Hirtler-Garvey Karin | — | Purchase | 3,000 | $11.94 | $35,820 | 3,000 | Jan 27, 2011 |