# EDGAR Filing Document

**Accession Number:** 0000904853
**File Stem:** 0001140361-23-009851
**Filing Date:** 2023-3
**Character Count:** 9184
**Document Hash:** 783a034c342ed52dab253575e3b701b0
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140361-23-009851.hdr.sgml**: 20230302

**ACCESSION NUMBER**: 0001140361-23-009851

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230228

**FILED AS OF DATE**: 20230302

**DATE AS OF CHANGE**: 20230302

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Amster Howard
- **CENTRAL INDEX KEY:** 0000904853

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 814-00818
- **FILM NUMBER:** 23701533

**MAIL ADDRESS:**
- **STREET 1:** 23811 CHAGRIN BLVD # 200
- **CITY:** BEACHWOOD
- **STATE:** OH
- **ZIP:** 44122-5525

**FORMER NAME:**
- **FORMER CONFORMED NAME:** AMSTER HOWARD
- **DATE OF NAME CHANGE:** 19970311
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PhenixFIN Corp
- **CENTRAL INDEX KEY:** 0001490349
- **IRS NUMBER:** 274576073
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0930

**BUSINESS ADDRESS:**
- **STREET 1:** 445 PARK AVENUE
- **STREET 2:** 9TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022
- **BUSINESS PHONE:** 212-759-0777

**MAIL ADDRESS:**
- **STREET 1:** 445 PARK AVENUE
- **STREET 2:** 9TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Medley Capital Corp
- **DATE OF NAME CHANGE:** 20110118

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Medley Capital BDC LLC
- **DATE OF NAME CHANGE:** 20100426

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Amster Howard<br><sub>(Last) (First) (Middle)</sub><br>C/O PHENIXFIN CORPORATION<br>445 PARK AVENUE, 10TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10022<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-28 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>PhenixFIN Corp [ PFX ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock, $0.001 par value | 2023-02-28 |  | P |  | 1850 | A | 38.6<sup>(1)</sup> | 232888 | D |  |
| Common Stock, $0.001 par value | 2023-03-01 |  | P |  | 5105 | A | 38.9<sup>(2)</sup> | 237993 | D |  |
| Common Stock, $0.001 par value |  |  |  |  |  |  |  | 409 | I | By Howard Amster 2021 Charitable Remainder Unitrust 1<sup>(3)</sup> |
| Common Stock, $0.001 par value |  |  |  |  |  |  |  | 11700 | I | By Howard Amster 2021 Charitable Remainder Unitrust 2<sup>(4)</sup> |
| Common Stock, $0.001 par value |  |  |  |  |  |  |  | 275 | I | By Howard Amster and Tamara Gould Charitable Remainder Unitrust U/A DTD 03/18/1993<sup>(5)</sup> |
| Common Stock, $0.001 par value |  |  |  |  |  |  |  | 960 | I | By Howard Amster Charitable Remainder Unitrust U/A DTD 04/22/1998<sup>(6)</sup> |
| Common Stock, $0.001 par value |  |  |  |  |  |  |  | 41 | I | By Howard Amster Charitable Remainder Unitrust U/A DTD 01/11/2005<sup>(7)</sup> |
| Common Stock, $0.001 par value |  |  |  |  |  |  |  | 200 | I | By Samuel J. Heller Trust U/A 08/07/2002<sup>(8)</sup> |
| Common Stock, $0.001 par value |  |  |  |  |  |  |  | 557 | I | By Pleasant Lake Corp<sup>(9)</sup> |
| Common Stock, $0.001 par value |  |  |  |  |  |  |  | 1731 | I | By Amster Limited Partnership<sup>(10)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.00 to $38.99, inclusive. The reporting person undertakes to provide to PhenixFIN Corporation, any security holder of PhenixFIN Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.

(2) The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $38.62 to $39.00, inclusive. The reporting person undertakes to provide to PhenixFIN Corporation, any security holder of PhenixFIN Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

(3) These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster 2021 Charitable Remainder Unitrust 1.

(4) These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster 2021 Charitable Remainder Unitrust 2.

(5) These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster and Tamara Gould Charitable Remainder Unitrust U/A DTD 03/18/1993.

(6) These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster Charitable Remainder Unitrust U/A DTD 04/22/1998.

(7) These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of Howard Amster Charitable Remainder Unitrust U/A DTD 01/11/2005.

(8) These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as trustee of the Samuel Heller Trust U/A 08/07/2002.

(9) These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as President of Pleasant Lake Corp.

(10) These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as general partner of Amster Limited Partnership.

**Signature:** /s/ Howard Amster  
**Date:** 2023-03-02

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**