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MidCap Financial Investment
MFIC

Name Holding Trade Value Shares
Change 		Change in
Stake
AW
176
Alpha Windward
Massachusetts
– -$513K -31,420 Closed
Aberdeen Group
177
Aberdeen Group
United Kingdom
– -$495K -30,333 Closed
NFC
178
Northeast Financial Consultants
Connecticut
– -$315K -19,308 Closed
AAM
179
AR Asset Management
California
– -$272K -16,667 Closed
BRF
180
B. Riley Financial
California
– -$261K -16,002 Closed
Nuveen Fund Advisors
181
Nuveen Fund Advisors
Illinois
– -$258K -15,824 Closed
FCM
182
FJ Capital Management
Virginia
– -$240K -14,700 Closed
AG
183
Aperio Group
California
– -$237K -14,498 Closed
State of Tennessee, Department of Treasury
184
State of Tennessee, Department of Treasury
Tennessee
– -$213K -13,066 Closed
CA
185
Cetera Advisors
Colorado
– -$204K -12,584 Closed
SC
186
Scotia Capital
Ontario, Canada
– -$137K -8,396 Closed
SBIA
187
Sheaff Brock Investment Advisors
Indiana
– -$133K -8,156 Closed
CSS
188
Cubist Systematic Strategies
Connecticut
– -$131K -8,033 Closed
BNP Paribas Financial Markets
189
BNP Paribas Financial Markets
France
– -$124K -7,570 Closed
EGA
190
Eagle Global Advisors
Texas
– -$122K -7,503 Closed
MMHP
191
Murphy Middleton Hinkle & Parker
Georgia
– -$121K -7,400 Closed
RJFSA
192
Raymond James Financial Services Advisors
Florida
– -$119K -7,316 Closed
HVIA
193
Hudson Valley Investment Advisors
New York
– -$109K -6,667 Closed
CANY
194
Caxton Associates (New York)
New York
– -$108K -6,629 Closed
FIM
195
Freedom Investment Management
Connecticut
– -$105K -6,381 Closed
CBA
196
Coastal Bridge Advisors
Connecticut
– -$97K -5,931 Closed
GIM
197
Greenwich Investment Management
Connecticut
– -$93K -5,712 Closed
HighTower Advisors
198
HighTower Advisors
Illinois
– -$89K -5,456 Closed
EFS
199
Essex Financial Services
Connecticut
– -$82K -5,000 Closed
WFI
200
West Family Investments
California
– -$84K -5,000 Closed
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