Stock Transactions — MIDCAP FINANCIAL INVSTMNT CO

Total Bought
2,852,599
82 transactions
Total Sold
15,980,607
66 transactions
Net
-13,128,008
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
Next Capital Management LLC725,4011,341,585+616,1843.385.37+1.99buy
Janney Montgomery Scott LLC56,575395,834+339,2590.000.01+0.01buy
North Ground Capital0250,000+250,0000.001.84+1.84buy
THORNBURG INVESTMENT MANAGEMENT INC2,937,7833,137,783+200,0000.480.49+0.01buy
Muzinich & Co., Inc.401,393571,520+170,1272.312.66+0.34buy
Sumitomo Mitsui Trust Group, Inc.334,994503,351+168,3570.000.00+0.00buy
Alpine Global Management, LLC0132,500+132,5000.000.29+0.29buy
VAN ECK ASSOCIATES CORP2,390,1552,511,678+121,5230.030.03-0.01buy
Invesco Ltd.770,438880,437+109,9990.000.00+0.00buy
RAYMOND JAMES FINANCIAL INC48,311111,294+62,9830.000.00+0.00buy
Garner Asset Management Corp111,631170,273+58,6420.650.83+0.17buy
OSAIC HOLDINGS, INC.95,698140,297+44,5990.000.00+0.00buy
Trexquant Investment LP13,77750,173+36,3960.000.01+0.00buy
UBS Group AG1,667,2881,701,175+33,8870.000.00-0.00buy
PRICE T ROWE ASSOCIATES INC /MD/030,303+30,3030.000.00+0.00buy
MORGAN STANLEY1,887,1401,916,834+29,6940.000.00-0.00buy
FOUNDATIONS INVESTMENT ADVISORS, LLC371,828400,283+28,4550.070.07-0.00buy
Aquatic Capital Management LLC023,593+23,5930.000.01+0.01buy
Virtu Financial LLC022,104+22,1040.000.01+0.01buy
OXFORD ASSET MANAGEMENT LLP022,066+22,0660.000.09+0.09buy
GOLDMAN SACHS GROUP INC021,772+21,7720.000.00+0.00buy
MARSHALL WACE, LLP016,761+16,7610.000.00+0.00buy
CONDOR CAPITAL MANAGEMENT412,875429,367+16,4920.450.42-0.03buy
D.A. DAVIDSON & CO.328,055344,057+16,0020.030.03-0.00buy
BI Asset Management Fondsmaeglerselskab A/S271,547287,296+15,7490.030.03-0.00buy
Stratos Wealth Partners, LTD.015,600+15,6000.000.00+0.00buy
D. E. Shaw & Co., Inc.014,989+14,9890.000.00+0.00buy
AMERIPRISE FINANCIAL INC402,636417,160+14,5240.000.00-0.00buy
FOX RUN MANAGEMENT, L.L.C.014,175+14,1750.000.03+0.03buy
United Advisor Group, LLC256,852270,816+13,9640.560.44-0.12buy
Founders Financial Alliance, LLC013,587+13,5870.000.03+0.03buy
NORTHERN TRUST CORP33,08145,449+12,3680.000.00+0.00buy
EASTERLY INVESTMENT PARTNERS LLC011,476+11,4760.000.01+0.01buy
Permanens Capital L.P.011,029+11,0290.000.02+0.02buy
Callodine Capital Management, LP500,000510,808+10,8080.650.54-0.12buy
Atlantic Union Bankshares Corp010,500+10,5000.000.00+0.00buy
Stablepoint Partners, LLC010,255+10,2550.000.02+0.02buy
MRA Advisory Group010,217+10,2170.000.05+0.05buy
CASTLEKEEP INVESTMENT ADVISORS LLC388,911398,683+9,7722.402.24-0.16buy
CAXTON ASSOCIATES LLP12,88622,441+9,5550.000.01+0.00buy
COMMONWEALTH EQUITY SERVICES, LLC466,028474,348+8,3200.010.01-0.00buy
ENVESTNET ASSET MANAGEMENT INC48,83856,947+8,1090.000.00+0.00buy
J.W. COLE ADVISORS, INC.119,168126,393+7,2250.030.03-0.00buy
Global Wealth Management Investment Advisory, Inc.85,22090,935+5,7150.200.18-0.02buy
BNP PARIBAS FINANCIAL MARKETS04,592+4,5920.000.00+0.00buy
Essex Financial Services, Inc.10,62114,640+4,0190.010.01+0.00buy
State of Alaska, Department of Revenue03,871+3,8710.000.00+0.00buy
FINANCIAL CONSULATE, INC03,841+3,8410.000.01+0.01buy
SHARPEPOINT LLC80,56384,375+3,8121.050.91-0.13buy
Physician Wealth Advisors, Inc.03,500+3,5000.000.01+0.01buy
PRINCIPAL SECURITIES, INC.36,99940,350+3,3510.010.01-0.00buy
Cetera Investment Advisers30,38433,093+2,7090.000.00-0.00buy
Rockefeller Capital Management L.P.77,27779,720+2,4430.000.00-0.00buy
Creative Planning14,53916,905+2,3660.000.00-0.00buy
TCFG WEALTH MANAGEMENT, LLC41,65643,687+2,0310.240.21-0.03buy
Arax Advisory Partners6602,424+1,7640.000.00+0.00buy
Camelot Portfolios, LLC61,88463,262+1,3780.470.45-0.02buy
Ethos Financial Group, LLC421,901423,178+1,2770.460.40-0.06buy
GROUP ONE TRADING LLC6991,899+1,2000.000.00+0.00buy
Sound Income Strategies, LLC01,118+1,1180.000.00+0.00buy
ProShare Advisors LLC18,54619,622+1,0760.000.00+0.00buy
Naviter Wealth, LLC203,259204,109+8500.320.28-0.03buy
FIRST COMMONWEALTH FINANCIAL CORP /PA/24,17524,928+7530.070.05-0.02buy
Virtus Investment Advisers, LLC69,51370,233+7200.300.24-0.06buy
Triumph Capital Management0660+6600.000.00+0.00buy
Steward Partners Investment Advisory, LLC35,29135,910+6190.000.00-0.00buy
TRUIST FINANCIAL CORP25,85026,450+6000.000.00-0.00buy
Arkadios Wealth Advisors103,954104,524+5700.040.03-0.01buy
STEPHENS INC /AR/84,19184,737+5460.010.01-0.00buy
NOMURA ASSET MANAGEMENT CO LTD6,7067,218+5120.000.00-0.00buy
HB Wealth Management, LLC12,81913,231+4120.000.00-0.00buy
HARBOUR INVESTMENTS, INC.6,4096,782+3730.000.00-0.00buy
AlphaCore Capital LLC11,52911,889+3600.010.00-0.00buy
HighTower Advisors, LLC89,49289,841+3490.000.00-0.00buy
OPPENHEIMER & CO INC15,74316,063+3200.000.00-0.00buy
Wealthspire Advisors, LLC10,01810,335+3170.000.00-0.00buy
Onyx Bridge Wealth Group LLC17,53917,803+2640.030.02-0.01buy
Parkside Financial Bank & Trust7,2767,503+2270.010.01-0.00buy
Larson Financial Group LLC0135+1350.000.00+0.00buy
Advisory Services Network, LLC23,53023,552+220.000.00-0.00buy
Apollo Management Holdings, L.P.2,388,8572,388,863+60.470.43-0.04buy
Frazier Financial Advisors, LLC01+10.000.00-0.00buy
HANTZ FINANCIAL SERVICES, INC.50050000.000.00-0.00hold
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO56356300.000.00-0.00hold
PRIVATE MANAGEMENT GROUP INC10,31710,31700.000.00-0.00hold
ARES MANAGEMENT LLC545,532545,53200.350.30-0.05hold
CIBC Private Wealth Group LLC3,6753,67500.000.00-0.00hold
ASSETMARK, INC50050000.000.00-0.00hold
Cheviot Value Management, LLC33333300.000.00-0.00hold
SIGNATUREFD, LLC3,3873,38700.000.00-0.00hold
DnB Asset Management AS164,114164,11400.010.01-0.00hold
B. Riley Wealth Advisors, Inc.19,10219,10200.010.01-0.00hold
Westchester Capital Management, LLC7,7027,70200.010.00-0.00hold
Almitas Capital LLC92,71792,71700.300.25-0.04hold
Anfield Capital Management, LLC8,8048,80400.040.03-0.01hold
Anchor Investment Management, LLC2,5772,57700.000.00-0.00hold
IFP Advisors, Inc1,5141,51400.000.00-0.00hold
Founders Capital Management1,5001,50000.010.01-0.00hold
Security National Bank6,0446,04400.010.01-0.00hold
GPS Wealth Strategies Group, LLC1,0791,07900.000.00-0.00hold
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