MFIC 10-K Annual Report Dec. 31, 2023 | Alphaminr
MidCap Financial Investment Corp

MFIC 10-K Fiscal year ended Dec. 31, 2023

MIDCAP FINANCIAL INVESTMENT CORP
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TABLE OF CONTENTS
Part IprintItem 1. BusinessprintItem 1A. Risk FactorsprintItem 1B. Unresolved Staff CommentsprintItem 1C. CybersecurityprintItem 2. PropertiesprintItem 3. Legal ProceedingsprintItem 4. Mine Safety DisclosuresprintPart IIprintItem 5. Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity SecuritiesprintItem 6. ReservedprintItem 7. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsprintItem 7A. Quantitative and Qualitative Disclosures About Market RiskprintItem 8. Consolidated Financial Statements and Supplementary DataprintNote 1. OrganizationprintNote 2. Significant Accounting PoliciesprintNote 3. Change in Year EndprintNote 4. Related Party Agreements and TransactionsprintNote 5. Earnings Per ShareprintNote 6. InvestmentsprintNote 7. Debt and Foreign Currency Transactions and TranslationsprintNote 8. Stockholders EquityprintNote 9. Commitments and ContingenciesprintNote 10. Income TaxesprintNote 11. Financial HighlightsprintNote 12. Selected Quarterly Financial Data (unaudited)printNote 13. Pending Mergers with Aft and AifprintNote 14. Subsequent EventsprintItem 9. Changes in and Disagreements with Accountants on Accounting and Financial DisclosureprintItem 9A. Controls and ProceduresprintItem 9B. Other InformationprintItem 9C. Disclosure Regarding Foreign Jurisdictions That Prevent InspectionsprintPart IIIprintItem 10. Directors, Executive Officers and Corporate GovernanceprintItem 11. Executive CompensationprintItem 12. Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder MattersprintItem 13. Certain Relationships and Related Transactions, and Director IndependenceprintItem 14. Principal Accounting Fees and ServicesprintPart IVprintItem 15. Exhibits and Financial Statement Schedulesprint

Exhibits

2.1 Agreement and Plan of Merger, dated as of November 7, 2023, among the Registrant, Apollo Senior Floating Rate Fund Inc., AFT Merger Sub, Inc. and Apollo Investment Management, L.P. (for the limited purposes set forth therein) (1) 2.2 Agreement and Plan of Merger, dated as of November 7, 2023, among the Registrant, Apollo Tactical Income Fund Inc., AIF Merger Sub, Inc. and Apollo Investment Management, L.P. (for the limited purposes set forth therein) (2) 3.1(b) Articles of Amendment and Restatement (4) 3.1(c) Articles of Amendment (5) 3.1(d) Articles of Amendment (6) 3.1(e) Articles of Restatement (7) 3.2 Sixth Amended and Restated Bylaws (8) 4.3 Indenture, dated as of October 9, 2012, between the Registrant and U.S. Bank National Association, as Trustee (9) 4.4 Fourth Supplemental Indenture, dated as of March 3, 2015, relating to the 5.250% Notes due 2025, between the Registrant and U.S. Bank National Association, as Trustee (10) 4.5 Form of 5.250% Notes due 2025 (contained in the Fourth Supplemental Indenture filed as Exhibit 4.4 hereto) (10) 4.6 Fifth Supplemental Indenture, dated July 16, 2021, relating to the 4.500% Notes due 2026, between the Registrant and U.S. Bank National Association, as Trustee (11) 4.7 Form of 4.500% Notes due 2026 (contained in the Fifth Supplemental Indenture filed as Exhibit 4.6 hereto) (11) 4.8 Sixth Supplemental Indenture, dated December 13, 2023, relating to the 8.00% Notes due 2028, between the Registrant and U.S. Bank Trust Company, National Association, as Trustee (12) 4.9 Form of 8.00% Notes due 2028 (contained in the Sixth Supplemental Indenture filed as Exhibit 4.8 hereto) (12) 4.10 Description of the Registrants Registered Securities (13) 10.1 Fourth Amended and Restated Investment Advisory Management Agreement between the Registrant and Apollo Investment Management, L.P. (14) 10.2 Second Amended and Restated Administration Agreement between the Registrant and Apollo Investment Administration, LLC (15) 10.4 Custodian Agreement (17) 10.5 Amended and Restated Trademark License Agreement between the Registrant and Apollo Management Holdings, L.P., dated as of May 14, 2012 (18) 10.6 Form of Transfer Agency and Service Agreement (19) 10.7 Amended and Restated Senior Secured Revolving Credit Agreement, dated as of April 19, 2023, between the Registrant, the lenders party thereto, and JPMorgan Chase Bank, N.A., as Administrative Agent (20) 10.8 Trademark License Agreement between the Registrant and Apollo Capital Management, L.P., dated August 2, 2022 (21) 10.9 Fee Offset Agreement, dated as of January 16, 2019 (22) 10.10 Indenture, dated as of November 2, 2023, by and between MFIC Bethesda CLO 1 LLC, as issuer and Deutsche Bank National Trust Company, as trustee (23) 10.11 Purchase and Placement Agency Agreement, dated as of November 2, 2023, by and among MFIC Bethesda CLO 1 LLC, as issuer, Deutsche Bank Securities Inc., as initial purchaser and Apollo Global Securities Inc., as placement agent (24) 10.12 Collateral Management Agreement, dated as of November 2, 2023, by and between MFIC Bethesda CLO 1 LLC, as issuer, and the Registrant, as collateral manager (25) 10.13 Master Loan Sale Agreement, dated as of November 2, 2023, by and among the Registrant, as transferor, MFIC Bethesda CLO 1 Depositor LLC, as retention holder and MFIC Bethesda CLO 1 LLC, as issuer (26) 14.1 Amended and Restated Code of Ethics (27) 31.1 Certification of Chief Executive Officer Pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934* 31.2 Certification of Chief Financial Officer Pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934* 32.1 Certification of Chief Executive Officer and Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (18 U.S.C. 1350)* 97.1 Clawback Policy* 99.1 Audited Financial Statements of Merx Aviation Finance LLC as of and for the year ended March 31, 2022 (28) 99.2 Consent of Independent Registered Public Accounting Firm* 99.3 Consent of Independent Auditors*