Vault-13

MIDCAP FINANCIAL INVSTMNT CO MFIC

COM NEW · Common Stock · CUSIP 03761U502

119 institutional holders -5 vs Q1 2023
18,273,22118.3m shares reported held*
28.0% of all shares outstanding*
$231.7mreported value*
11 new 33 added 39 reduced 18 sold out net sold ≈ $5.7m (-449.5k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Shares outstanding: 65.3m as of 2023-08-01, from the company's own SEC filing; the percentage can still exceed 100%: lent-out shares are counted by the lender and the buyer, and some reports overlap without saying so. Implied quarter-end price ≈ $12.68. Options: 6 managers hold calls ($3.2m notional), 4 hold puts ($277.9k).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 124Q4 22: 135Q1 23: 124Q2 23: 119119Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022124
Q4 2022135
Q1 2023124
Q2 2023119

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
1000100Q4 22: 55 bought or addedQ4 22: 52 cut or sold outQ4 22Q1 23: 57 bought or addedQ1 23: 48 cut or sold outQ1 23Q2 23: 44 bought or addedQ2 23: 57 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 20225552
Q1 20235748
Q2 20234457

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$2m$4m$6mQ3 22 calls: $4.0mQ3 22 puts: $468.0kQ3 22P/C 0.12Q4 22 calls: $3.3mQ4 22 puts: $1.8mQ4 22P/C 0.55Q1 23 calls: $2.4mQ1 23 puts: $364.8kQ1 23P/C 0.15Q2 23 calls: $3.2mQ2 23 puts: $277.9kQ2 23P/C 0.09
Numbers
QuarterCallsPutsP/C
Q3 2022$4.0m$468.0k0.12
Q4 2022$3.3m$1.8m0.55
Q1 2023$2.4m$364.8k0.15
Q2 2023$3.2m$277.9k0.09

Biggest buyers

PUTNAM INVESTMENTS LLC New +104,813+104.8k
Alpine Global Management, LLC New +99,936+99.9k
VAN ECK ASSOCIATES CORP Added +65,947+65.9k
Advisors Asset Management, Inc. New +51,040+51.0k
TWO SIGMA INVESTMENTS, LP Added +41,966+42.0k
Legal & General Group Plc Added +41,059+41.1k
LSV ASSET MANAGEMENT Added +38,100+38.1k
COMMONWEALTH EQUITY SERVICES, LLC Added +33,263+33.3k
Hennion & Walsh Asset Management, Inc. Added +29,698+29.7k
AMERIPRISE FINANCIAL INC Added +29,630+29.6k

Biggest sellers

GOLDMAN SACHS GROUP INC Reduced -188,467-188.5k
BANK OF AMERICA CORP /DE/ Reduced -120,175-120.2k
CITADEL ADVISORS LLC Reduced -102,383-102.4k
MILLENNIUM MANAGEMENT LLC Reduced -95,651-95.7k
WINTON GROUP Ltd Reduced -63,173-63.2k
JANE STREET GROUP, LLC Sold out -61,889-61.9k
WELLS FARGO & COMPANY/MN Reduced -60,883-60.9k
Relative Value Partners Group, LLC Reduced -56,166-56.2k
MORGAN STANLEY Reduced -50,968-51.0k
HRT FINANCIAL LP Sold out -45,868-45.9k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added $1.2m94.0k shares
CITADEL ADVISORS LLC Reduced $715.9k57.0k shares
GROUP ONE TRADING LLC Added $626.7k49.9k shares
SIMPLEX TRADING, LLC Added $503.0k40.1k shares
Fortitude Advisory Group L.L.C. Unchanged $196.2k15.5k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

CITADEL ADVISORS LLC Added $183.4k14.6k shares
GROUP ONE TRADING LLC Reduced $56.5k4.5k shares
SIMPLEX TRADING, LLC New $38.0k3.1k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Insider purchases and sales in Q2 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
202Q3 21: 0 buyingQ3 21: 0 sellingQ4 21: 1 buyingQ4 21: 0 sellingQ4 21Q1 22: 0 buyingQ1 22: 0 sellingQ2 22: 0 buyingQ2 22: 0 sellingQ2 22Q3 22: 0 buyingQ3 22: 0 sellingQ4 22: 0 buyingQ4 22: 0 sellingQ4 22Q1 23: 0 buyingQ1 23: 2 sellingQ2 23: 0 buyingQ2 23: 0 sellingQ2 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q3 20210—0——
Q4 20211$651.5k0——
Q1 20220—0——
Q2 20220—0——
Q3 20220—0——
Q4 20220—0——
Q1 20230—2$118.2k—
Q2 20230—0——

None reported in Q2 2023.

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 THORNBURG INVESTMENT MANAGEMENT INC 0.60% of their portfolio SANTA FE, NM 2,937,7832.9m $36.9m $36.9m 0.60% Unchanged
2 Apollo Management Holdings, L.P. 0.33% of their portfolio New York, NY 2,490,2202.5m $31.3m $31.3m 0.33% Unchanged
3 Allspring Global Investments Holdings, LLC 0.05% of their portfolio CHARLOTTE, NC 2,305,8482.3m $29.0m $29.0m 0.05% Reduced -21.1k -21,065
4 VAN ECK ASSOCIATES CORP 0.03% of their portfolio NEW YORK, NY 1,017,5051.0m $12.8m $12.8m 0.03% Added +65.9k +65,947
5 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 861,166861.2k $10.8m $10.8m 0.00% Reduced -42.8k -42,832
6 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 798,765798.8k $10.0m $10.0m 0.00% Reduced -51.0k -50,968
7 Legal & General Group Plc 0.00% of their portfolio London, X0 487,024487.0k $6.1m $6.1m 0.00% Added +41.1k +41,059
8 Arete Wealth Advisors, LLC 0.50% of their portfolio CHICAGO, IL 450,183450.2k $5.7m $5.7m 0.50% Reduced -4.5k -4,527
9 Northern Right Capital Management, L.P. 2.27% of their portfolio DARIEN, CT 442,440442.4k $5.6m $5.6m 2.27% Unchanged
10 BlackRock Inc. 0.00% of their portfolio New York, NY 378,314378.3k $4.8m $4.8m 0.00% Added +2.3k +2,307
11 NEUBERGER BERMAN GROUP LLC 0.00% of their portfolio NEW YORK, NY 315,986316.0k $4.0m $4.0m 0.00% Added +23.1k +23,142
12 COMMONWEALTH EQUITY SERVICES, LLC 0.01% of their portfolio WALTHAM, MA 292,601292.6k $3.7m $3.7m 0.01% Added +33.3k +33,263
13 TWO SIGMA INVESTMENTS, LP 0.01% of their portfolio NEW YORK, NY 287,755287.8k $3.6m $3.6m 0.01% Added +42.0k +41,966
14 TWO SIGMA ADVISERS, LP 0.01% of their portfolio NEW YORK, NY 267,620267.6k $3.4m $3.4m 0.01% Reduced -14.1k -14,100
15 Clear Harbor Asset Management, LLC 0.30% of their portfolio Stamford, CT 240,295240.3k $3.0m $3.0m 0.30% Reduced -17.1k -17,075
16 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 231,438231.4k $2.9m $2.9m 0.00% Reduced -120.2k -120,175
17 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 220,365220.4k $2.8m $2.8m 0.00% Added +29.6k +29,630
18 CONDOR CAPITAL MANAGEMENT 0.31% of their portfolio MARTINSVILLE, NJ 205,793205.8k $2.6m $2.6m 0.31% Added +21.0k +20,959
19 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 197,624197.6k $2.5m $2.5m 0.00% Added +1.9k +1,907
20 LSV ASSET MANAGEMENT 0.01% of their portfolio CHICAGO, IL 188,732188.7k $2.4m $2.4m 0.01% Added +38.1k +38,100
21 Sumitomo Mitsui Trust Group, Inc. 0.00% of their portfolio CHIYODA-KU, TOKYO, M0 182,285182.3k $2.3m $2.3m 0.00% Reduced -27.9k -27,922
22 Muzinich & Co., Inc. 2.02% of their portfolio NEW YORK, NY 182,285182.3k $2.3m $2.3m 2.02% Reduced -27.9k -27,922
23 UBS Group AG 0.00% of their portfolio ZURICH, V8 156,202156.2k $2.0m $2.0m 0.00% Added +11.2k +11,231
24 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 143,241143.2k $1.8m $1.8m 0.00% Reduced -95.7k -95,651
25 D.A. DAVIDSON & CO. 0.02% of their portfolio GREAT FALLS, MT 141,542141.5k $1.8m $1.8m 0.02% Added +26.6k +26,638
26 Hennion & Walsh Asset Management, Inc. 0.10% of their portfolio Parsippany, NJ 133,042133.0k $1.7m $1.7m 0.10% Added +29.7k +29,698
27 Arkadios Wealth Advisors 0.19% of their portfolio ATLANTA, GA 131,540131.5k $1.7m $1.7m 0.19% Reduced -2.5k -2,487
28 Camelot Portfolios, LLC 1.00% of their portfolio Maumee, OH 127,365127.4k $1.6m $1.6m 1.00% Reduced -3.5k -3,455
29 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 124,861124.9k $1.6m $1.6m 0.00% Added +2.3k +2,282
30 BI Asset Management Fondsmaeglerselskab A/S 0.04% of their portfolio KOBENHAVN, G7 122,025122.0k $1.5m $1.5m 0.04% Unchanged
31 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 117,227117.2k $1.5m $1.5m 0.00% Reduced -60.9k -60,883
32 DNB Asset Management AS 0.01% of their portfolio Oslo, Q8 116,083116.1k $1.5m $1.5m 0.01% Unchanged
33 MCKINLEY CAPITAL MANAGEMENT LLC 0.19% of their portfolio ANCHORAGE, AK 114,044114.0k $1.4m $1.4m 0.19% Reduced -897 -897
34 PUTNAM INVESTMENTS LLC 0.00% of their portfolio BOSTON, MA 104,813104.8k $1.3m $1.3m 0.00% New
35 Alpine Global Management, LLC 0.18% of their portfolio NEW YORK, NY 99,93699.9k $1.3m $1.3m 0.18% New
36 MERIDIAN INVESTMENT COUNSEL INC. 0.36% of their portfolio LAFAYETTE, CA 79,47679.5k $998.2k $998.2k 0.36% Reduced -1.9k -1,933
37 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 68,23368.2k $857.0k $857.0k 0.00% First filing
38 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 66,03266.0k $831.0k $831.0k 0.00% Reduced -14.0k -14,012
39 INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.11% of their portfolio ORLANDO, FL 64,64264.6k $811.9k $811.9k 0.11% Added +401 +401
40 CANADA LIFE ASSURANCE Co 0.00% of their portfolio WINNIPEG, A2 62,71262.7k $793.0k $793.0k 0.00% Added +3.9k +3,858
41 WINTON GROUP Ltd 0.06% of their portfolio LONDON, X0 56,93356.9k $715.1k $715.1k 0.06% Reduced -63.2k -63,173
42 Relative Value Partners Group, LLC 0.05% of their portfolio NORTHBROOK, IL 56,16656.2k $705.4k $705.4k 0.05% Reduced -56.2k -56,166
43 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 53,18353.2k $668.0k $668.0k 0.00% Reduced -11.5k -11,531
44 Cubic Asset Management, LLC 0.17% of their portfolio BOSTON, MA 51,69451.7k $649.3k $649.3k 0.17% Reduced -12.2k -12,170
45 Advisors Asset Management, Inc. 0.01% of their portfolio Monument, CO 51,04051.0k $641.1k $641.1k 0.01% New
46 MACKENZIE FINANCIAL CORP 0.00% of their portfolio TORONTO ONTARIO, A6 49,22449.2k $623.2k $623.2k 0.00% Reduced -14.2k -14,186
47 STIFEL FINANCIAL CORP 0.00% of their portfolio ST. LOUIS, MO 47,32847.3k $594.4k $594.4k 0.00% Reduced -827 -827
48 Sigma Planning Corp 0.02% of their portfolio ANN ARBOR, MI 45,62845.6k $573.1k $573.1k 0.02% Reduced -2.2k -2,194
49 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 44,62644.6k $560.5k $560.5k 0.00% Added +515 +515
50 Claybrook Capital, LLC 0.30% of their portfolio WELLESLEY, MA 44,13744.1k $554.4k $554.4k 0.30% Unchanged
51 Northeast Financial Consultants Inc 0.03% of their portfolio WESTPORT, CT 43,73343.7k $549.3k $549.3k 0.03% Unchanged
52 J.P. Morgan Private Wealth Advisors LLC 0.00% of their portfolio SAN FRANCISCO, CA 43,70943.7k $549.0k $549.0k 0.00% Added +3.1k +3,126
53 Global Wealth Management Investment Advisory, Inc. 0.15% of their portfolio FORT LAUDERDALE, FL 42,90942.9k $538.9k $538.9k 0.15% Added +2.7k +2,693
54 IFP Advisors, Inc 0.01% of their portfolio TAMPA, FL 42,32042.3k $614.9k $614.9k 0.01% Added +21.2k +21,160
55 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 37,52937.5k $472.0k $472.0k 0.00% Reduced -1.5k -1,533
56 EVOKE WEALTH, LLC 0.02% of their portfolio Los Angeles, CA 36,80036.8k $462.2k $462.2k 0.02% Unchanged
57 SEI INVESTMENTS CO 0.00% of their portfolio OAKS, PA 32,51832.5k $408.4k $408.4k 0.00% Added +4.9k +4,900
58 VIRTUS ADVISERS, LLC 0.24% of their portfolio HARTFORD, CT 32,33732.3k $406.2k $406.2k 0.24% Reduced -7.6k -7,633
59 M Holdings Securities, Inc. 0.08% of their portfolio PORTLAND, OR 31,84331.8k $400.0k $400.0k 0.08% Reduced -10.8k -10,843
60 Onyx Bridge Wealth Group LLC 0.07% of their portfolio TARRYTOWN, NY 24,11624.1k $302.9k $302.9k 0.07% Unchanged
61 Ethos Financial Group, LLC 0.09% of their portfolio KING OF PRUSSIA, PA 22,84922.8k $260.5k $260.5k 0.09% Unchanged
62 Mariner, LLC 0.00% of their portfolio Overland Park, KS 21,39921.4k $269.0k $269.0k 0.00% New
63 Nebula Research & Development LLC 0.20% of their portfolio New York, NY 21,35221.4k $268.2k $268.2k 0.20% New
64 GUGGENHEIM CAPITAL LLC 0.00% of their portfolio CHICAGO, IL 21,29921.3k $267.5k $267.5k 0.00% Reduced -326 -326
65 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 21,02621.0k $264.1k $264.1k 0.00% Reduced -133 -133
66 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 20,89120.9k $262.4k $262.4k 0.00% Added +18 +18
67 Mirae Asset Global Investments Co., Ltd. 0.00% of their portfolio SEOUL, M5 20,53220.5k $257.9k $257.9k 0.00% Added +666 +666
68 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 19,59719.6k $246.1k $246.1k 0.00% Added +4.9k +4,941
69 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 18,80118.8k $236.0k $236.0k 0.00% Reduced -201 -201
70 Trexquant Investment LP 0.01% of their portfolio STAMFORD, CT 18,56818.6k $233.2k $233.2k 0.01% New
71 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 15,61515.6k $196.1k $196.1k 0.00% Reduced -188.5k -188,467
72 EAGLE GLOBAL ADVISORS LLC 0.01% of their portfolio Houston, TX 15,06015.1k $189.2k $189.2k 0.01% Unchanged
73 B. Riley Wealth Advisors, Inc. 0.00% of their portfolio MEMPHIS, TN 14,77814.8k $185.6k $185.6k 0.00% Reduced -1.1k -1,078
74 SILVER OAK SECURITIES, INCORPORATED 0.03% of their portfolio JACKSON, TN 14,03314.0k $176.0k $176.0k 0.03% Unchanged
75 Jump Financial, LLC 0.01% of their portfolio Chicago, IL 13,83613.8k $173.8k $173.8k 0.01% New
76 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 13,08013.1k $164.0k $164.0k 0.00% Added +21 +21
77 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 12,61812.6k $158.5k $158.5k 0.00% Added +32 +32
78 Snowden Capital Advisors LLC 0.01% of their portfolio New York, NY 11,74211.7k $147.5k $147.5k 0.01% Unchanged
79 HBC Financial Services, PLLC 1.60% of their portfolio SEATTLE, WA 11,65611.7k $2.3m $2.3m 1.60% Reduced -104 -104
80 INDEPENDENT FINANCIAL GROUP, LLC 0.01% of their portfolio SAN DIEGO, CA 11,60011.6k $145.7k $145.7k 0.01% Unchanged
81 Quantbot Technologies LP 0.01% of their portfolio NEW YORK, NY 11,32511.3k $142.2k $142.2k 0.01% Added +1.7k +1,663
82 ProShare Advisors LLC 0.00% of their portfolio BETHESDA, MD 11,16911.2k $140.3k $140.3k 0.00% Added +133 +133
83 Sequoia Financial Advisors, LLC 0.00% of their portfolio Akron, OH 10,59110.6k $133.0k $133.0k 0.00% Added +25 +25
84 Schonfeld Strategic Advisors LLC 0.00% of their portfolio NEW YORK, NY 10,20010.2k $128.1k $128.1k 0.00% Reduced -4.8k -4,800
85 Parallel Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 9,3569.4k $117.5k $117.5k 0.00% Added +4.1k +4,076
86 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 9,1719.2k $115.2k $115.2k 0.00% Added +119 +119
87 BALDWIN WEALTH PARTNERS LLC/MA 0.01% of their portfolio Marion, MA 8,3338.3k $104.7k $104.7k 0.01% Unchanged
88 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 7,1927.2k $90.3k $90.3k 0.00% Reduced -280 -280
89 Register Financial Advisors LLC 0.06% of their portfolio ATLANTA, GA 7,1917.2k $90.3k $90.3k 0.06% Unchanged
90 Aquatic Capital Management LLC 0.00% of their portfolio CHICAGO, IL 4,6004.6k $58.0k $58.0k 0.00% New
91 Parkside Financial Bank & Trust 0.01% of their portfolio SAINT LOUIS, MO 3,6863.7k $46.3k $46.3k 0.01% Added +107 +107
92 GROUP ONE TRADING LLC 0.00% of their portfolio CHICAGO, IL 2,7202.7k $34.2k $34.2k 0.00% Added +500 +500
93 WHITTIER TRUST CO 0.00% of their portfolio SOUTH PASADENA, CA 2,1922.2k $27.5k $27.5k 0.00% Unchanged
94 SIGNATUREFD, LLC 0.00% of their portfolio ATLANTA, GA 1,9291.9k $24.2k $24.2k 0.00% Reduced -46 -46
95 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 1,7431.7k $21.9k $21.9k 0.00% Reduced -102.4k -102,383
96 Founders Capital Management 0.01% of their portfolio HOUSTON, TX 1,5001.5k $18.8k $18.8k 0.01% Unchanged
97 Tower Research Capital LLC (TRC) 0.00% of their portfolio NEW YORK, NY 1,3951.4k $17.5k $17.5k 0.00% Reduced -4.4k -4,449
98 Kistler-Tiffany Companies, LLC 0.00% of their portfolio BERWYN, PA 840840 $10.6k $10.6k 0.00% Unchanged
99 First Horizon Advisors, Inc. 0.00% of their portfolio MEMPHIS, TN 750750 $9.4k $9.4k 0.00% Unchanged
100 Highlander Capital Management, LLC 0.00% of their portfolio SHORT HILLS, NJ 666666 $8.0k $8.0k 0.00% Unchanged