Filing Details
- Accession Number:
- 0000899243-16-035304
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-12 16:39:40
- Reporting Period:
- 2016-12-08
- Filing Date:
- 2016-12-12
- Accepted Time:
- 2016-12-12 16:39:40
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1000209 | Medallion Financial Corp | MFIN | Finance Services (6199) | 043291176 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1000210 | Alvin Murstein | C/O Medallion Financial Corp. 437 Madison Avenue New York NY 10022 | Chairman & Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2016-12-08 | 60,000 | $3.58 | 119,074 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2016-12-08 | 60,000 | $3.60 | 1,228,182 | No | 4 | P | Indirect | See Footnote |
Common Stock | Disposition | 2016-12-09 | 40,000 | $3.66 | 79,074 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2016-12-09 | 40,000 | $3.70 | 1,268,182 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
No | 4 | P | Indirect | See Footnote |
No | 4 | S | Direct | |
No | 4 | P | Indirect | See Footnote |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 70,118 | Indirect | See Footnote |
Common Stock | 117,660 | Indirect | See Footnote |
Common Stock | 5,000 | Indirect | See Footnote |
Footnotes
- For tax planning purposes, Mr. Murstein sold these shares that he held directly and purchased the equivalent amount of shares through a family trust, as described in Note (2) below. In accordance with Section 16(b) of the Securities Exchange Act of 1934, as amended, Mr. Murstein has disgorged to Medallion Financial Corp. short-swing profits from such transaction in the amount of $2,512.00.
- Represents shares beneficially owned by the Alvin Murstein Second Family Trust registered in the name of Morgan Stanley of which Mr. Murstein is a co-trustee and the beneficiary.
- Represents shares beneficially owned by the Alvin Murstein Second Family Trust of which Mr. Murstein is a co-trustee and the beneficiary.
- Represents beneficially owned by the Aileen J. Murstein Family 2012 Trust of which Mr. Murstein is the grantor and Mr. Murstein's spouse is a co-trustee and the beneficiary.
- Represents shares owned by Mr. Murstein's spouse.