| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | MFIC | Common Stock | Other | -$7.15K | -403 | -0.36% | $17.73 | 111K | Aug 7, 2018 | Direct | F1, F5 |
| transaction | MFIC | Common Stock | Other | -$2.14K | -155 | -0.14% | $13.83 | 111K | Sep 30, 2020 | Direct | F1, F5 |
| transaction | MFIC | Common Stock | Other | -$126K | -9.1K | -7.61% | $13.83 | 111K | Dec 31, 2020 | Direct | F1, F5 |
| transaction | MFIC | Common Stock | Other | $505K | +36.9K | +50.18% | $13.67 | 111K | Feb 17, 2022 | Direct | F2, F5 |
| transaction | MFIC | Common Stock | Other | -$121K | -9.15K | -7.65% | $13.20 | 111K | Mar 3, 2022 | Direct | F1, F5 |
| transaction | MFIC | Common Stock | Other | $491K | +40.2K | +57.23% | $12.21 | 111K | Feb 10, 2023 | Direct | F3, F5 |
| transaction | MFIC | Common Stock | Other | -$100K | -8.28K | -6.97% | $12.09 | 111K | Mar 3, 2023 | Direct | F1, F5 |
| transaction | MFIC | Common Stock | Other | -$126K | -9.01K | -7.54% | $13.95 | 111K | Feb 9, 2024 | Direct | F1, F5 |
| transaction | MFIC | Common Stock | Award | +7.35K | +7.13% | 111K | Jul 22, 2024 | Direct | F4, F5 |
| 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. |
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.