MidCap Financial Investment Corp
For the period ended Jun 30, 2026. Filed Aug 6, 2026.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Jun 30, 2026 · Filed Aug 6, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Unregistered Sales of Equity Securities and Use of Proceeds
Item 2. Unregistered Sales of Equity Securities and Use of Proceeds
Unregistered Sales of Equity Securities
None.
Issuer Purchases of Equity Securities
The Company adopted the following plans, approved by the Board, for the purpose of repurchasing its common stock in accordance with applicable rules specified in the Securities Exchange Act of 1934 (the “Repurchase Plans”):
| Date of Agreement/Amendment | Maximum Cost of Shares That May Be Repurchased | Cost of Shares Repurchased | Remaining Cost of Shares That May Be Repurchased | ||||
|---|---|---|---|---|---|---|---|
| August 5, 2015 | $ | 50.0 million | $ | 50.0 million | $ | — million | |
| December 14, 2015 | 50.0 million | 50.0 million | — million | ||||
| September 14, 2016 | 50.0 million | 50.0 million | — million | ||||
| October 30, 2018 | 50.0 million | 50.0 million | — million | ||||
| February 6, 2019 | 50.0 million | 50.0 million | — million | ||||
| February 3, 2022 | 25.0 million | 25.0 million | — million | ||||
| February 25, 2026 | 100.0 million | 100.0 million | — million | ||||
| Total as of June 30, 2026 | $ | 375.0 million | $ | 375.0 million | $ | — million | |
The Repurchase Plans were designed to allow the Company to repurchase its shares both during its open window periods and at times when it otherwise might be prevented from doing so under applicable insider trading laws or because of self-imposed trading blackout periods. A broker selected by the Company will have the authority under the terms and limitations specified in an agreement with the Company to repurchase shares on the Company’s behalf in accordance with the terms of the Repurchase Plans. Repurchases are subject to SEC regulations as well as certain price, market volume and timing constraints specified in the Repurchase Plans. Pursuant to the Repurchase Plans, the Company may from time to time repurchase a portion of its shares of common stock and the Company is hereby notifying stockholders of its intention as required by applicable securities laws.
Under the Repurchase Plans described above, the Company allocated the following amounts to be repurchased in accordance with SEC Rule 10b5-1 (the “10b5-1 Repurchase Plans”):
| Effective Date | Termination Date | Amount Allocated to 10b5-1 Repurchase Plans | |
|---|---|---|---|
| September 15, 2015 | November 5, 2015 | $ | 5.0 million |
| January 1, 2016 | February 5, 2016 | 10.0 million | |
| April 1, 2016 | May 19, 2016 | 5.0 million | |
| July 1, 2016 | August 5, 2016 | 15.0 million | |
| September 30, 2016 | November 8, 2016 | 20.0 million | |
| January 4, 2017 | February 6, 2017 | 10.0 million | |
| March 31, 2017 | May 19, 2017 | 10.0 million | |
| June 30, 2017 | August 7, 2017 | 10.0 million | |
| October 2, 2017 | November 6, 2017 | 10.0 million | |
| January 3, 2018 | February 8, 2018 | 10.0 million | |
| June 18, 2018 | August 9, 2018 | 10.0 million | |
| September 17, 2018 | October 31, 2018 | 10.0 million | |
| December 12, 2018 | February 7, 2019 | 10.0 million | |
| February 25, 2019 | May 17, 2019 | 25.0 million | |
| March 18, 2019 | May 17, 2019 | 10.0 million | |
| June 4, 2019 | August 7, 2019 | 25.0 million | |
| June 17, 2019 | August 7, 2019 | 20.0 million | |
| September 16, 2019 | November 6, 2019 | 20.0 million | |
| December 6, 2019 | February 5, 2020 | 25.0 million | |
| December 16, 2019 | February 5, 2020 | 15.0 million | |
| March 12, 2020 | March 19, 2020 | 20.0 million | |
| March 30, 2021 | May 21, 2021 | 10.0 million | |
| June 16, 2021 | November 5, 2021 | 10.0 million | |
| December 16, 2021 | August 3, 2022 | 5.0 million | |
| December 27, 2022 | February 22, 2023 | 10.0 million | |
| March 16, 2026 | April 13, 2026 | 80.0 million |
The following table presents information with respect to the Company’s purchases of its common stock for each month in the three month period ended June 30, 2026:
| Month · Total Number of Shares Purchased · Average Price Paid Per Share* · Total Number of Shares Purchased as Part of Publicly Announced Plans(1) · Maximum Dollar Value of Shares That May Yet Be Purchased Under Publicly Announced Plans(1) | ||||||
|---|---|---|---|---|---|---|
| April 1-April 30, 2026 | 2,755,221 | $ | 11.58 | 2,755,221 | $0.0 | |
| May 1-May 31, 2026 | — | — | — | — | ||
| June 1-June 30, 2026 | — | — | — | — | ||
| Total | 2,755,221 | $ | 11.58 | 2,755,221 | ||
(1) On February 26, 2026, the Company announced that its Board approved the repurchase of up to $100 million of the Company’s common stock (the “Repurchase Plan”), as a supplement to the existing availability under the then current outstanding share repurchase authorization. The Repurchase Plan did not have an expiration date but as of June 30, 2026, there was no remaining authorized value of shares available to be repurchased under the Repurchase Plan. Under the Repurchase Plan, the Company was authorized but not obligated to, repurchase its outstanding common stock in the open market from time to time, at certain thresholds below net asset value per share (including in accordance with Rule 10b5-1 of the Exchange Act) provided that the Company complied with the prohibitions under its insider trading policies and the requirements of Rule 10b-18 of the Exchange Act, including certain price, market volume and timing constraints.
- The average price per share is inclusive of commissions.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.