PFX

PhenixFIN Corporation PFX

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
The Radoff Family Foundation TEXAS 0 0 0 0 0 0 % 14/02/2023
The Radoff Family Foundation TEXAS 0 0 0 0 0 0 % 14/02/2023
Bradley L. Radoff USA 2500 0 2500 0 2500 0 % 14/02/2023
Bradley L. Radoff USA 2500 0 2500 0 2500 0 % 14/02/2023
22NW Fund, LP DELAWARE 117885 0 117885 0 117885 5.6 % 13/02/2023
22NW, LP DELAWARE 117885 0 117885 0 117885 5.6 % 13/02/2023
22NW Fund, LP DELAWARE 117885 0 117885 0 117885 5.6 % 13/02/2023
22NW Fund GP, LLC DELAWARE 117885 0 117885 0 117885 5.6 % 13/02/2023
Aron R. English USA 117885 0 117885 0 117885 5.6 % 13/02/2023
22NW GP, Inc. DELAWARE 117885 0 117885 0 117885 5.6 % 13/02/2023
Aron R. English USA 117885 0 117885 0 117885 5.6 % 13/02/2023
22NW GP, Inc. DELAWARE 117885 0 117885 0 117885 5.6 % 13/02/2023
22NW Fund GP, LLC DELAWARE 117885 0 117885 0 117885 5.6 % 13/02/2023
22NW, LP DELAWARE 117885 0 117885 0 117885 5.6 % 13/02/2023
Adalta Capital Management LLC Delaware 78423 0 0 118973 118973 5.67 % 13/02/2023
Adalta Capital Management LLC Delaware 78423 0 0 118973 118973 5.67 % 13/02/2023
Adalta Capital Management LLC Delaware 78423 0 0 118973 118973 5.67 % 13/02/2023
Bradley L. Radoff USA 179100 0 179100 0 179100 7.1 % 14/02/2022
Bradley L. Radoff USA 179100 0 179100 0 179100 7.1 % 14/02/2022
The Radoff Family Foundation TEXAS 24000 0 24000 0 24000 0 % 14/02/2022
The Radoff Family Foundation TEXAS 24000 0 24000 0 24000 0 % 14/02/2022
Glacier Point Advisors, LLC California 0 0 % 10/11/2021
Glacier Point Advisors California 248705 248705 9.14 % 26/02/2021
Almitas Capital LLC 162340 162340 162340 162340 162340 0 % 16/02/2021
FMLP Inc. TEXAS 49896 0 49896 0 49896 1.8 % 16/02/2021
BLRPart, LP TEXAS 49896 0 49896 0 49896 1.8 % 16/02/2021
BLR Partners LP TEXAS 49896 0 49896 0 49896 1.8 % 16/02/2021
The Radoff Family Foundation TEXAS 58804 0 58804 0 58804 2.2 % 16/02/2021
BLRGP Inc. TEXAS 49896 0 49896 0 49896 1.8 % 16/02/2021
Bradley L. Radoff USA 207700 0 207700 0 207700 7.6 % 16/02/2021
Fondren Management, LP TEXAS 49896 0 49896 0 49896 1.8 % 16/02/2021
DB Med Investor I LLC Delaware 0 131738 0 131738 131738 4.8 % 23/11/2020
Drawbridge Special Opportunities Fund LP Delaware 0 131738 0 131738 131738 4.8 % 23/11/2020
Drawbridge Special Opportunities Fund LTD Cayman Islands 0 131738 0 131738 131738 4.8 % 23/11/2020
Drawbridge Special Opportunities GP LLC Delaware 0 131738 0 131738 131738 4.8 % 23/11/2020
Fortress Principal Investment Holdings IV LLC Delaware 0 131738 0 131738 131738 4.8 % 23/11/2020
Drawbridge Special Opportunities Advisors LLC Delaware 0 131738 0 131738 131738 4.8 % 23/11/2020
FIG LLC Delaware 0 131738 0 131738 131738 4.8 % 23/11/2020
Fortress Operating Entity I LP Delaware 0 131738 0 131738 131738 4.8 % 23/11/2020
FIG Corp. Delaware 0 131738 0 131738 131738 4.8 % 23/11/2020
Fortress Investment Group LLC Delaware 0 131738 0 131738 131738 4.8 % 23/11/2020
Bradley L. Radoff USA 180000 0 180000 0 180000 6.6 % 18/09/2020
BLRGP Inc. TEXAS 50000 0 50000 0 50000 1.8 % 18/09/2020
The Radoff Family Foundation TEXAS 45000 0 45000 0 45000 1.7 % 18/09/2020
FMLP Inc. TEXAS 50000 0 50000 0 50000 1.8 % 18/09/2020
Fondren Management, LP TEXAS 50000 0 50000 0 50000 1.8 % 18/09/2020
BLRPart, LP TEXAS 50000 0 50000 0 50000 1.8 % 18/09/2020
BLR Partners LP TEXAS 50000 0 50000 0 50000 1.8 % 18/09/2020
Glacier Point Advisors California 6018700 6018700 11.05 % 08/07/2020
Glacier Point Advisors California 0 0 0 5463680 5463680 10.03 % 03/12/2019
Drawbridge Special Opportunities Fund LP Delaware 0 7756938 0 7756938 7756938 14.2 % 04/11/2019
Fortress Investment Group LLC Delaware 0 7756938 0 7756938 7756938 14.2 % 04/11/2019
FIG Corp. Delaware 0 7756938 0 7756938 7756938 14.2 % 04/11/2019
Fortress Operating Entity I LP Delaware 0 7756938 0 7756938 7756938 14.2 % 04/11/2019
FIG LLC Delaware 0 7756938 0 7756938 7756938 14.2 % 04/11/2019
Drawbridge Special Opportunities Advisors LLC Delaware 0 7756938 0 7756938 7756938 14.2 % 04/11/2019
Fortress Principal Investment Holdings IV LLC Delaware 0 7756938 0 7756938 7756938 14.2 % 04/11/2019
Drawbridge Special Opportunities GP LLC Delaware 0 7756938 0 7756938 7756938 14.2 % 04/11/2019
DB Med Investor I LLC Delaware 0 7756938 0 7756938 7756938 14.2 % 04/11/2019
Drawbridge Special Opportunities Fund LTD Cayman Islands 0 7756938 0 7756938 7756938 14.2 % 04/11/2019
LPL Financial LLC California 0 0 0 300857 300857 0.6 % 10/10/2019
Glacier Point Advisors California 0 0 0 5053674 5053674 9.28 % 23/09/2019
LPL Financial LLC California 0 0 0 6068612.005 6068612.005 11.1 % 15/03/2019
LPL Financial LLC California 0 0 0 6068612.005 6068612.005 11.1 % 10/01/2019
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 1682157 1682157 1682157 30.58 % 09/06/2017
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 1689073 1689073 1689073 23.79 % 10/02/2017
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Delaware 0 0 0 0 0 0 % 14/02/2013
Medley Opportunity Fund, Ltd. Cayman Islands 0 4776658 0 4776658 4776658 27.6 % 23/02/2012
Medley Capital, LLC Delaware 0 4776658 0 4776658 4776658 27.6 % 23/02/2012

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District