SEC Info - Medley Capital Corp - ‘N-2/A’ on 11/22/10

Medley Capital Corp – ‘N-2/A’ on 11/22/10 – EX-99.D

On: Monday, 11/22/10, at 8:44pm ET · As of: 11/23/10 · Accession #: 950123-10-107938 · File #: 333-166491

As Of Filer Filing For·On·As Docs:Size Issuer Agent 11/23/10 Medley Capital Corp N-2/A 13:1.8M RR Donnelley/FA

Document/Exhibit Description Pages Size 1: N-2/A Pre-Effective Amendment to Registration Statement HTML 865K of a Closed-End Investment Company 2: EX-99.A.3 Miscellaneous Exhibit HTML 36K 3: EX-99.B.3 Miscellaneous Exhibit HTML 127K 4: EX-99.B.4 Miscellaneous Exhibit HTML 34K 5: EX-99.D Miscellaneous Exhibit HTML 12K 6: EX-99.E Miscellaneous Exhibit HTML 17K 7: EX-99.H Miscellaneous Exhibit HTML 192K 8: EX-99.J.1 Miscellaneous Exhibit HTML 134K 9: EX-99.K.4 Miscellaneous Exhibit HTML 28K 10: EX-99.K.5 Ex-99.K.4 HTML 14K 11: EX-99.N.2 Miscellaneous Exhibit HTML 8K 12: EX-99.N.6 Miscellaneous Exhibit HTML 8K 13: EX-99.R.3 Miscellaneous Exhibit HTML 46K

Exhibit (d)

[FACE OF CERTIFICATE]


NUMBER		SHARES
	MEDLEY CAPITAL CORPORATION	CUSIP:

COMMON STOCK		SEE REVERSE FOR CERTAIN
		DEFINITIONS

INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE

THIS IS TO CERTIFY that
is the owner of

FULLY AND NON-ASSESSABLE SHARES OF COMMON STOCK, $0.001 PAR VALUE PER SHARE, OF

MEDLEY CAPITAL CORPORATION

transferable on the books of the Corporation by the holder hereof in person or by duly authorized attorney upon the surrender of this Certificate properly endorsed. This Certificate is not valid until countersigned and registered by the Transfer Agent and Registrar.

WITNESS the facsimile signatures of the Corporation’s duly authorized officers.

Dated:


[SIGNATURE] CHIEF FINANCIAL OFFICER		[SIGNATURE]\| CHIEF EXECUTIVE OFFICER

COUNTERSIGNED AND REGISTERED: AMERICAN STOCK TRANSFER & TRUST COMPANY (New York, N.Y.) TRANSFER AGENT AND REGISTRAR

AUTHORIZED SIGNATURE

[REVERSE OF CERTIFICATE]

The following abbreviations, when used in the inscription on the face of this certificate, shall be construed as though they were written out in full according to applicable laws or regulations:


TEN COM — as tenants in common		UNIF GIFT MIN ACT -______ Custodian______
		(Cust) (Minor)
TEN ENT — as tenants by the entireties
		under Uniform Gifts to Minors Act____________
JT TEN — as joint tenants with right of survivorship and not as tenants in common		(State)

Additional abbreviations may also be used though not in the above list.

For Value Received, _________________________ hereby sell, assign and transfer unto

PLEASE INSERT SOCIAL SECURITY OR OTHER
IDENTIFYING NUMBER OF ASSIGNEE

____________________________________________________

(PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS, INCLUDING ZIP CODE, OF ASSIGNEE)

___________________________Shares of the Common Stock represented by the within Certificate, and do hereby irrevocably constitute and appoint ________________________ Attorney to transfer the said stock on the books of the within named Company with full power of substitution in the premises.

Dated

NOTICE: THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE FACE OF THE CERTIFICATE IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATEVER.

Signature(s) Guaranteed:____________________________________________

THE SIGNATURE(S) MUST BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (BANKS, STOCKBROKERS, SAVINGS AND LOAN ASSOCIATIONS AND CREDIT UNIONS WITH MEMBERSHIP IN AN APPROVED SIGNATURE GUARANTEE MEDALLION PROGRAM), PURSUANT TO S.E.C. RULE 17Ad-15.

As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 5/10/24 PhenixFIN Corp. 10-Q 3/31/24 82:12M EdgarAgents LLC/FA 2/08/24 PhenixFIN Corp. 10-Q 12/31/23 78:11M EdgarAgents LLC/FA 12/22/23 PhenixFIN Corp. 10-K 9/30/23 85:16M EdgarAgents LLC/FA 8/11/23 PhenixFIN Corp. 10-Q 6/30/23 78:12M EdgarAgents LLC/FA 5/11/23 PhenixFIN Corp. 10-Q 3/31/23 78:11M EdgarAgents LLC/FA 2/09/23 PhenixFIN Corp. 10-Q 12/31/22 78:12M EdgarAgents LLC/FA 12/16/22 PhenixFIN Corp. 10-K 9/30/22 10:4M EdgarAgents LLC/FA 8/10/22 PhenixFIN Corp. 10-Q 6/30/22 4:1.7M EdgarAgents LLC/FA 5/10/22 PhenixFIN Corp. 10-Q 3/31/22 6:1.8M EdgarAgents LLC/FA 2/10/22 PhenixFIN Corp. 10-Q 12/31/21 5:1.6M EdgarAgents LLC/FA 12/20/21 PhenixFIN Corp. 10-K 9/30/21 5:4.7M EdgarAgents LLC/FA 11/16/21 PhenixFIN Corp. 8-A12B 11/15/21 1:27K EdgarAgents LLC/FA 10/15/21 PhenixFIN Corp. N-2/A 3:1.2M EdgarAgents LLC/FA 8/19/21 PhenixFIN Corp. N-2 8/18/21 5:1.3M EdgarAgents LLC/FA 8/11/21 PhenixFIN Corp. 10-Q 6/30/21 4:2.4M EdgarAgents LLC/FA 5/13/21 PhenixFIN Corp. 10-Q 3/31/21 4:2.3M EdgarAgents LLC/FA 2/16/21 PhenixFIN Corp. 10-Q 12/31/20 5:2.2M EdgarAgents LLC/FA 12/11/20 PhenixFIN Corp. 10-K 12/11/20 8:14M 8/07/20 PhenixFIN Corp. 10-Q 6/30/20 5:5.8M

Medley Capital Corp – ‘N-2/A’ on 11/22/10 – EX-99.D

On: Monday, 11/22/10, at 8:44pm ET · As of: 11/23/10 · Accession #: 950123-10-107938 · File #: 333-166491

Previous ‘N-2’: ‘N-2/A’ on 7/2/10 · Next: ‘N-2/A’ on 1/6/11 · Latest: ‘N-2/A’ on 10/15/21 · 19 References:

Pre-Effective Amendment to Registration Statement of a Closed-End Investment Company — Form N-2
Filing Table of Contents

EX-99.D — Miscellaneous Exhibit

This exhibit is an HTML Document rendered as filed. [ Alternative Formats ]

19 Subsequent Filings that Reference this Filing

Medley Capital Corp – ‘N-2/A’ on 11/22/10 – EX-99.D

On: Monday, 11/22/10, at 8:44pm ET · As of: 11/23/10 · Accession #: 950123-10-107938 · File #: 333-166491

Pre-Effective Amendment to Registration Statement of a Closed-End Investment Company — Form N-2Filing Table of Contents

EX-99.D — Miscellaneous Exhibit

This exhibit is an HTML Document rendered as filed. [ Alternative Formats ]

19 Subsequent Filings that Reference this Filing

Pre-Effective Amendment to Registration Statement of a Closed-End Investment Company — Form N-2
Filing Table of Contents