MVC Capital Corp. (MVC1)

Sector:
FINANCE
Industry:
GENERAL FINANCE
SIC:
CEO:
Scott Schuenke
Employees:
RIVERVIEW AT PURCHASE, 287 BOWMAN AVENUE, 3RD FLOOR, PURCHASE, NY 10577
914-701-0310

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MVC Capital Inc is a business development company that invests in small & middle market companies primarily located in the US. The fund targets companies with secure market positions, strong management teams, growth potential, sustainable competitive advantage, and stable free cash flows, revenues of $10 - $150 and an EBITDA of $3 - $25 million. It focuses on companies operating across a broad range of sectors including consumer products, industrial, manufacturing or services, food or food services, financial services, value-added distribution and specialty chemicals. It provides financing for MBOs, going private transactions, private company recapitalization, operational turnarounds, corporate partnerships, leveraged buildup, acquisitions and growth or expansion capital requirements with an investment size ranging from $3 to $25 million. It makes controlling and non-controlling investments in the form of equity, preferred stock, warrants, subordinated debt, term loans, and cash flow loans. It also makes co-investments.

View SEC Filings from MVC1 instead.

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Funds Holding MVC1 (via 13F filings)

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*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding MVC1 BETA

Active Schedule 13D and 13G filings

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Recent Filings

Financial Reporting

Events (8k)

  • 8-K: filed on 2020-12-23:
    Item 1.02: Termination of a Material Definitive Agreement
    Item 2.01: Completion of Acquisition or Disposition of Assets
    Item 3.03: Material Modifications to Rights of Security Holders
    Item 5.01: Changes in Control of Registrant
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
    Item 5.03: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
    Item 5.07: Submission of Matters to a Vote of Security Holders
    Item 9.01: Financial Statements and Exhibits
    Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
  • 8-K: filed on 2020-12-18:
    Item 8.01: Other Events
  • 8-K: filed on 2020-09-09:
    Item 2.02: Results of Operations and Financial Condition
    Item 7.01: Regulation FD Disclosure
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2020-09-02:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
  • 8-K: filed on 2020-08-11:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 7.01: Regulation FD Disclosure
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2020-07-31:
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
  • 8-K: filed on 2020-07-20:
    Item 5.07: Submission of Matters to a Vote of Security Holders
    Item 8.01: Other Events
  • 8-K: filed on 2020-03-25:
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2020-02-25:
    Item 8.01: Other Events
  • 8-K: filed on 2019-09-03:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
  • Open Market Buys/Sells Last 60 Days

    Open Market Buys (P)

    none

    Open Market Sells (S)

    none

    Exercise Derivative Conversion (M)

    none

    Current/Former Insiders

    Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

    GOLDSTEIN PHILLIP

    0 2020-12-23 0

    TOKARZ MICHAEL T CHAIRMAN AND PORTFOLIO MANAGER

    0 2020-12-23 0

    HELLERMAN GERALD

    0 2020-12-23 0

    KNAPP ROBERT C

    0 2020-12-23 0

    LIPSON ARTHUR D

    0 2020-12-23 0

    SCHUENKE SCOTT CHIEF FINANCIAL OFFICER

    0 2020-12-23 0

    SHAPIRO-ROTHCHILD JACLYN L VICE PRESIDENT AND SECRETARY

    0 2020-12-23 0

    CHAPMAN JOHN D.

    0 2020-12-23 0

    KASS DOUGLAS

    0 2020-12-23 0

    BYRNE KEVIN M. CHIEF COMPLIANCE OFFICER

    0 2020-12-23 0

    KRASE SCOTT D

    0 2020-12-23 0

    AVNI RON JONATHAN

    0 2020-07-15 0

    HOLTSBERG WARREN

    8,000 2018-03-27 0

    DOMINIANNI EMILIA

    • Director
    58,766 2016-11-30 0

    SHEWMAKER BRUCE W MANAGING DIRECTOR

    • Officer
    23,366 2014-09-16 0

    SEIDENBERG PETER FAUST CHIEF FINANCIAL OFFICER

    • Officer
    No longer subject to file 2013-11-01 0

    TAYLOR WILLIAM E

    • Director
    47,454 2012-06-19 0

    WYNNEFIELD PARTNERS SMALL CAP VALUE LP

    WYNNEFIELD PARTNERS SMALL CAP VALUE LP I

    WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD

    WYNNEFIELD CAPITAL MANAGEMENT LLC

    WYNNEFIELD CAPITAL INC

    CHANNEL PARTNERSHIP II L P

    WYNNEFIELD CAPITAL, INC. PROFIT SHARING PLAN

    OBUS NELSON

    LANDES JOSHUA

    • 10% Owner
    7,210,500 2009-08-27 0

    OBUS NELSON

    • 10% Owner
    2,593,500 2009-03-05 0

    CANNELL CAPITAL LLC

    • 10% Owner
    3,111,800 2007-03-12 0

    CANNELL J CARLO

    • 10% Owner
    3,111,800 2007-03-12 0

    EVERETT ROBERT S

    • Director
    108,242 2006-02-20 0

    Insider Transactions Last 60 Days

    Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
    Disposed
    Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
    No current insider transactions

    * -

    Transaction Code Definitions
    Code Definition
    A Grant, award or other acquisition pursuant to Rule 16b-3(d)
    C Conversion of derivative security
    D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
    E Expiration of short derivative position
    F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
    G Bona fide gift
    H Expiration (or cancellation) of long derivative position with value received
    I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
    J Other acquisition or disposition
    L Small acquisition under Rule 16a-6
    M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
    O Exercise of out-of-the-money derivative security
    P Open market or private purchase of non-derivative or derivative security
    S Open market or private sale of non-derivative or derivative security
    U Disposition pursuant to a tender of shares in a change of control transaction
    W Acquisition or disposition by will or the laws of descent and distribution
    X Exercise of in-the-money or at-the-money derivative security
    Z Deposit into or withdrawal from voting trust

    IBR Securities Loan Availability

    Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

    Security Date/Time Rebate Rate Fee Rate Shares Available

    Current Active Short Positions

    Holder Issuer Net Short Position Position Date Origin

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