Form 4 for MFIC MidCap Financial Investment Corp
Accepted 2024-11-12 00:00:00 ET · period of report 2018-08-07 · accession 0000950170-24-125576 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2024-11-12 | 2018-08-07+ | MFIC | Powell Tanner | CEO | J - Other | $13.05 | +41.1K | 110.5K | +59% | +$535.7K |
| 2024-11-12 | 2024-07-22 | MFIC | Powell Tanner | CEO | A - Grant | — | +7,351 | 110.5K | +7% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-02-10 | J | A | 40,228 | $12.21 | 110,517 | D | — | — | (F5) The number of securities beneficially owned following the reported transaction reflects ownership as of the date of this filing based on available records of the Reporting Person's transactions and other information provided to the Issuer. In addition to this filing, on the date hereof, Reporting Person is filing amendments to other Forms 4 (the "Filings") and the number of securities reported herein as beneficially owned is inclusive of the securities reported in the Filings. The Reporting Person has agreed to voluntarily disgorge any profits deemed realized from the transactions to the Issuer. |
| 2 | Common | Common Stock | 2023-03-03 | J | D | 8,277 | $12.09 | 110,517 | D | — | — | (F5) The number of securities beneficially owned following the reported transaction reflects ownership as of the date of this filing based on available records of the Reporting Person's transactions and other information provided to the Issuer. In addition to this filing, on the date hereof, Reporting Person is filing amendments to other Forms 4 (the "Filings") and the number of securities reported herein as beneficially owned is inclusive of the securities reported in the Filings. The Reporting Person has agreed to voluntarily disgorge any profits deemed realized from the transactions to the Issuer. |
| 3 | Common | Common Stock | 2024-02-09 | J | D | 9,007 | $13.95 | 110,517 | D | — | — | (F5) The number of securities beneficially owned following the reported transaction reflects ownership as of the date of this filing based on available records of the Reporting Person's transactions and other information provided to the Issuer. In addition to this filing, on the date hereof, Reporting Person is filing amendments to other Forms 4 (the "Filings") and the number of securities reported herein as beneficially owned is inclusive of the securities reported in the Filings. The Reporting Person has agreed to voluntarily disgorge any profits deemed realized from the transactions to the Issuer. |
| 4 | Common | Common Stock | 2024-07-22 | A | A | 7,351 | — | 110,517 | D | — | — | (F4) Acquired upon the completion of, and pursuant to the transactions contemplated by, the Agreement and Plan of Merger, dated as of November 7, 2023, by and among MidCap Financial Investment Corporation, a Maryland corporation ("MFIC"), Apollo Senior Floating Rate Fund Inc., a Maryland corporation ("AFT"), AFT Merger Sub, Inc., a Maryland corporation, and Apollo Investment Management, L.P., a Delaware limited partnership (the "AFT Merger Agreement"). Pursuant to the AFT Merger Agreement, each share of AFT's common stock, par value $0.001 per share, was converted into the right to receive 0.9547 shares of MFIC's common stock, par value $0.001 per share (subject to adjustment for cash payable in lieu of fractional shares). The acquisition reported in this Form 4 is an exempt transaction. (F5) The number of securities beneficially owned following the reported transaction reflects ownership as of the date of this filing based on available records of the Reporting Person's transactions and other information provided to the Issuer. In addition to this filing, on the date hereof, Reporting Person is filing amendments to other Forms 4 (the "Filings") and the number of securities reported herein as beneficially owned is inclusive of the securities reported in the Filings. The Reporting Person has agreed to voluntarily disgorge any profits deemed realized from the transactions to the Issuer. |
| 5 | Common | Common Stock | 2018-08-07 | J | D | 403 | $17.73 | 110,517 | D | — | — | (F5) The number of securities beneficially owned following the reported transaction reflects ownership as of the date of this filing based on available records of the Reporting Person's transactions and other information provided to the Issuer. In addition to this filing, on the date hereof, Reporting Person is filing amendments to other Forms 4 (the "Filings") and the number of securities reported herein as beneficially owned is inclusive of the securities reported in the Filings. The Reporting Person has agreed to voluntarily disgorge any profits deemed realized from the transactions to the Issuer. |
| 6 | Common | Common Stock | 2020-09-30 | J | D | 155 | $13.83 | 110,517 | D | — | — | (F5) The number of securities beneficially owned following the reported transaction reflects ownership as of the date of this filing based on available records of the Reporting Person's transactions and other information provided to the Issuer. In addition to this filing, on the date hereof, Reporting Person is filing amendments to other Forms 4 (the "Filings") and the number of securities reported herein as beneficially owned is inclusive of the securities reported in the Filings. The Reporting Person has agreed to voluntarily disgorge any profits deemed realized from the transactions to the Issuer. |
| 7 | Common | Common Stock | 2020-12-31 | J | D | 9,102 | $13.83 | 110,517 | D | — | — | (F5) The number of securities beneficially owned following the reported transaction reflects ownership as of the date of this filing based on available records of the Reporting Person's transactions and other information provided to the Issuer. In addition to this filing, on the date hereof, Reporting Person is filing amendments to other Forms 4 (the "Filings") and the number of securities reported herein as beneficially owned is inclusive of the securities reported in the Filings. The Reporting Person has agreed to voluntarily disgorge any profits deemed realized from the transactions to the Issuer. |
| 8 | Common | Common Stock | 2022-02-17 | J | A | 36,928 | $13.67 | 110,517 | D | — | — | (F5) The number of securities beneficially owned following the reported transaction reflects ownership as of the date of this filing based on available records of the Reporting Person's transactions and other information provided to the Issuer. In addition to this filing, on the date hereof, Reporting Person is filing amendments to other Forms 4 (the "Filings") and the number of securities reported herein as beneficially owned is inclusive of the securities reported in the Filings. The Reporting Person has agreed to voluntarily disgorge any profits deemed realized from the transactions to the Issuer. |
| 9 | Common | Common Stock | 2022-03-03 | J | D | 9,152 | $13.20 | 110,517 | D | — | — | (F5) The number of securities beneficially owned following the reported transaction reflects ownership as of the date of this filing based on available records of the Reporting Person's transactions and other information provided to the Issuer. In addition to this filing, on the date hereof, Reporting Person is filing amendments to other Forms 4 (the "Filings") and the number of securities reported herein as beneficially owned is inclusive of the securities reported in the Filings. The Reporting Person has agreed to voluntarily disgorge any profits deemed realized from the transactions to the Issuer. |