Tanner Powell - 07 Aug 2018 Form 4 Insider Report for MidCap Financial Investment Corp (MFIC)

Role
Chief Executive Officer
Signature
/s/ Kristin Hester, as Attorney-in-Fact
Issuer symbol
MFIC
Transactions as of
07 Aug 2018
Net transactions value
+$514,297
Form type
4
Filing time
12 Nov 2024, 16:42:04 UTC
Next filing
12 Nov 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MFIC Common Stock Other $7,145 -403 -0.36% $17.73 110,517 07 Aug 2018 Direct F1, F5
transaction MFIC Common Stock Other $2,144 -155 -0.14% $13.83 110,517 30 Sep 2020 Direct F1, F5
transaction MFIC Common Stock Other $125,881 -9,102 -7.6% $13.83 110,517 31 Dec 2020 Direct F1, F5
transaction MFIC Common Stock Other $504,806 +36,928 +50% $13.67 110,517 17 Feb 2022 Direct F2, F5
transaction MFIC Common Stock Other $120,806 -9,152 -7.6% $13.20 110,517 03 Mar 2022 Direct F1, F5
transaction MFIC Common Stock Other $491,184 +40,228 +57% $12.21 110,517 10 Feb 2023 Direct F3, F5
transaction MFIC Common Stock Other $100,069 -8,277 -7% $12.09 110,517 03 Mar 2023 Direct F1, F5
transaction MFIC Common Stock Other $125,648 -9,007 -7.5% $13.95 110,517 09 Feb 2024 Direct F1, F5
transaction MFIC Common Stock Award +7,351 +7.1% 110,517 22 Jul 2024 Direct F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a disposition for tax withholding purposes in connection with the vesting of restricted stock units.
F2 Represents a grant of restricted stock units ("RSUs"). Such RSUs vest in three equal annual installments commencing on February 17, 2022.
F3 Represents a grant of restricted stock units ("RSUs"). Such RSUs vest in three equal annual installments commencing on February 10, 2023.
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.

Remarks:

On November 30, 2018, the Issuer effected a 1 for 3 reverse stock split. All shares are reflected on a post stock split basis and reflect the Reporting Person's beneficial ownership of the securities as of the date of this filing.