Form 4 for MFIC MidCap Financial Investment Corp

Accepted 2024-11-12 00:00:00 ET · period of report 2023-02-10 · accession 0000950170-24-125581 · 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	2023-02-10+	MFIC	McNulty Ted Aymond Jr.	Pres	J - Other	$12.38	+72.0K	98.9K	+268%	+$891.2K
MI	2024-11-12	2024-07-22	MFIC	McNulty Ted Aymond Jr.	Pres	A - Grant	—	+15.2K	7,637	New	—

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	2024-02-10	J	D	8,438	$13.95	88,984	D BY IRA	—	—	(F4) Represents the amount of securities beneficially owned following the reported transaction and as of the date of this filing.
2	Common	Common Stock	2024-07-22	A	A	7,552	—	15,189	I	—	—	(F6) 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 MFIC, Apollo Tactical Income Fund Inc., a Maryland corporation ("AIF"), AIF Merger Sub, Inc., a Maryland corporation, and Apollo Investment Management, L.P., a Delaware limited partnership (the "AIF Merger Agreement"). Pursuant to the AIF Merger Agreement, each share of AIF's common stock, par value $0.001 per share, was converted into the right to receive 0.9441 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.
3	Common	Common Stock	2024-07-22	A	A	7,637	—	7,637	I	—	—	(F5) 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.
4	Common	Common Stock	2023-02-10	J	A	80,456	$12.21	98,920	D BY IRA	—	—	(F3) This Form 4 is deemed to update the amount of securities beneficially owned following the reported transaction previously reported on Table I in the Form 4 filed by the Reporting Person with the SEC on March 14, 2024.