PhenixFIN Corp — Director's Dealing 2023

Feb 24, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PhenixFIN Corp (PFX)
CIK: 0001490349
Period of Report: 2023-02-21

Reporting Person: Amster Howard (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-02-21	Common Stock, $0.001 par value	P	409	$38.28	Acquired	409	Indirect
2023-02-21	Common Stock, $0.001 par value	P	11700	$38.28	Acquired	11700	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, $0.001 par value	231038	Direct
Common Stock, $0.001 par value	275	Indirect
Common Stock, $0.001 par value	960	Indirect
Common Stock, $0.001 par value	41	Indirect
Common Stock, $0.001 par value	200	Indirect
Common Stock, $0.001 par value	557	Indirect
Common Stock, $0.001 par value	1731	Indirect

Footnotes

F1: The price reported in Column 4 is an average price. These shares were purchased in multiple transactions by a single omnibus account. 2,731 shares were purchased at prices ranging from $36.90 to $37.90, inclusive, with a weighted average price of $37.48, and a further 9,378 shares were purchased at prices ranging from $38.00 to $38.72, with a weighted average price of $38.52. The shares purchased were then allocated as indicated in Column 4 to the respective entities named in Column 7. The weighted average price of all the purchases in the aggregate was $38.28. 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.

F2: 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.

F3: 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.

F4: 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.

F5: 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.

F6: 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.

F7: 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.

F8: These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as President of Pleasant Lake Corp.

F9: These shares are deemed to be beneficially owned by Howard Amster as a result of his capacity as general partner of Amster Limited Partnership.