Home > Insider Trading > Filing (0001144204-17-028711)

Filing Details

Accession Number:: 0001144204-17-028711
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-05-19 20:21:49
Reporting Period:: 2017-05-17

Filing Date:: 2017-05-19
Accepted Time:: 2017-05-19 20:21:49
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1490349	Medley Capital Corp	MCC	()	274576073

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1510194	Brook Taube	C/O Medley Capital Corporation 280 Park Avenue, 6Th Floor East New York NY 10017	Chief Executive Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock, Par Value $0.001 Per Share	Acquisiton	2017-05-17	101,376	$6.15	3,240,868	No	4	P	Indirect	By Medley Seed Funding I LLC
Common Stock, Par Value $0.001 Per Share	Acquisiton	2017-05-18	101,376	$6.23	3,342,244	No	4	P	Indirect	By Medley Seed Funding I LLC
Common Stock, Par Value $0.001 Per Share	Acquisiton	2017-05-19	101,376	$6.22	3,443,620	No	4	P	Indirect	By Medley Seed Funding I LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Medley Seed Funding I LLC
No	4	P	Indirect	By Medley Seed Funding I LLC
No	4	P	Indirect	By Medley Seed Funding I LLC

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock, Par Value $0.001 Per Share	190,000	Indirect	See Footnote

Footnotes

On 05/17/2017, 05/18/2017 and 05/19/2017, Medley Seed Funding I LLC, a limited liability company controlled by Medley LLC, purchased 101,376, 101,376, and101,376 shares of Medley Capital Corporation common stock, respectively. The reporting person, together with SethTaube, controls Medley LLC. The reporting person disclaims beneficial ownership of the reported shares of common stock except to the extent of his pecuniary interest therein.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.09 to $6.22, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.13 to $6.32, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.14 to $6.30, inclusive. The reporting person undertakes to provide to Medley Capital Corporation, any security holder of Medley Capital Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
These securities are held by a trust for the benefit of the Reporting Person's family, for which the Reporting Person serves as a trustee.