Surface Oncology, Inc.
SURFDelisted Sep 8, 2023- Industry
- Biological Products, (No Diagnostic Substances)
- SEC CIK
- 0001718108
Surface Oncology, Inc. was delisted on Sep 8, 2023; its insiders filed their last Form 4 on Sep 8, 2023; 62 institutions reported holding it in 13F filings for Q2 2023, worth $16.9M in total; ARK Invest was the only superinvestor holding it.
13F holders, Q4 2022
Institutional positions in Surface Oncology, Inc. as of Dec 31, 2022. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works
- Institutional holders
- 80
- +2 vs. Q3 2022
- Shares held
- 28.6M
- −2.74M (−8.7%) vs. Q3 2022
- Total value
- $23.4M
- −$9.12M (−28.0%) vs. Q3 2022
- New holders
- 12
- 17 more added
- Sold out
- 10
- 30 more reduced
2 institutions that held it in Q3 2022 haven't filed for Q4 2022 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q3 2022: new holders, sold out and not filed yet
Holders and value by quarter
Institutions reporting SURF on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.
| Quarter | Holders | Value |
|---|---|---|
| Q2 2026 | 0 | $0 |
| Q1 2026 | 0 | $0 |
| Q4 2025 | 1 | $21.0K |
| Q3 2025 | 1 | $21.0K |
| Q2 2025 | 1 | $21.0K |
| Q1 2025 | 1 | $21.0K |
| Q4 2024 | 1 | $21.0K |
| Q3 2024 | 1 | $21.0K |
| Q2 2024 | 1 | $21.0K |
| Q1 2024 | 1 | $21.0K |
| Q4 2023 | 1 | $21.0K |
| Q3 2023 | 2 | $21.3K |
| Q2 2023 | 62 | $16.9M |
| Q1 2023 | 72 | $18.8M |
| Q4 2022 | 80 | $23.4M |
| Q3 2022 | 80 | $32.8M |
| Q2 2022 | 85 | $48.6M |
| Q1 2022 | 104 | $93.8M |
| Q4 2021 | 107 | $118.0M |
| Q3 2021 | 92 | $182.2M |
| Q2 2021 | 97 | $168.5M |
| Q1 2021 | 91 | $147.5M |
Institutions, Q4 2022
Shares, value and share of portfolio for each institution holding Surface Oncology, Inc.; share changes are against Q3 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| ARK Investment Management LLCSuperinvestorARK Invest | 5,567,224 | $4.57M | 0.04% | −468,467−7.8% | Reduced |
| EcoR1 Capital, LLC | 3,924,713 | $3.22M | 0.10% | 00.0% | Unchanged |
| Atlas Venture Associates IX, LLC | 2,945,453 | $2.42M | 12.02% | 00.0% | Unchanged |
| Vanguard Group Inc | 2,309,286 | $1.89M | 0.00% | +8160.0% | Added |
| Acadian Asset Management LLC | 1,092,356 | $894.0K | 0.00% | +191,527+21.3% | Added |
| Goldman Sachs Group Inc | 1,084,467 | $889.3K | 0.00% | −183,780−14.5% | Reduced |
| Sumitomo Mitsui Trust Holdings, Inc. | 1,072,013 | $879.1K | 0.00% | −32,217−2.9% | Reduced |
| Citigroup Inc | 1,046,157 | $857.8K | 0.00% | −615−0.1% | Reduced |
| Nikko Asset Management Americas, Inc. | 1,072,013 | $857.6K | 0.01% | −32,217−2.9% | Reduced |
| DAFNA Capital Management LLC | 783,000 | $642.1K | 0.18% | −317,000−28.8% | Reduced |
| Renaissance Technologies LLC | 714,155 | $586.0K | 0.00% | −271,188−27.5% | Reduced |
| BlackRock Inc. | 677,405 | $555.5K | 0.00% | −349,302−34.0% | Reduced |
| Laurion Capital Management LP | 665,400 | $545.6K | 0.02% | 00.0% | Unchanged |
| Citadel Advisors LLC | 611,207 | $501.2K | 0.00% | −780,029−56.1% | Reduced |
| Tang Capital Management LLC | 429,647 | $352.3K | 0.05% | +429,647 | New |
| Stifel Financial Corp | 419,425 | $343.9K | 0.00% | −10,940−2.5% | Reduced |
| Millennium Management LLC | 415,270 | $341.0K | 0.00% | +41,760+11.2% | Added |
| Geode Capital Management, LLC | 386,312 | $316.0K | 0.00% | +13,698+3.7% | Added |
| Macquarie Group Ltd | 350,000 | $287.0K | 0.00% | 00.0% | Unchanged |
| Knights of Columbus Asset Advisors LLC | 282,953 | $232.0K | 0.02% | −321−0.1% | Reduced |
| Gsa Capital Partners LLP | 276,403 | $227.0K | 0.03% | +156,020+129.6% | Added |
| FMR LLC | 233,193 | $191.2K | 0.00% | −140,453−37.6% | Reduced |
| Dimensional Fund Advisors LP | 202,064 | $166.0K | 0.00% | 00.0% | Unchanged |
| XTX Topco Ltd | 183,579 | $150.5K | 0.03% | −182,642−49.9% | Reduced |
| State Street Corp | 171,566 | $140.7K | 0.00% | 00.0% | Unchanged |
| Bridgeway Capital Management, LLC | 157,500 | $129.2K | 0.00% | −25,000−13.7% | Reduced |
| Bank of New York Mellon Corp | 132,393 | $108.6K | 0.00% | −48,352−26.8% | Reduced |
| Jane Street Group, LLC | 131,569 | $107.9K | 0.00% | +131,569 | New |
| Marshall Wace, LLP | 110,928 | $91.0K | 0.00% | −96,025−46.4% | Reduced |
| Cornercap Investment Counsel Inc | 108,424 | $88.9K | 0.02% | 00.0% | Unchanged |
| Barclays PLC | 107,317 | $88.0K | 0.00% | −310,448−74.3% | Reduced |
| Forefront Analytics, LLC | 63,356 | $52.0K | 0.03% | −3,482−5.2% | Reduced |
| Arete Wealth Advisors, LLC | 62,156 | $51.0K | 0.00% | +4,966+8.7% | Added |
| Northern Trust Corp | 59,905 | $49.1K | 0.00% | 00.0% | Unchanged |
| Franklin Resources Inc | 57,360 | $47.0K | 0.00% | 00.0% | Unchanged |
| Ergoteles LLC | 52,234 | $42.8K | 0.00% | +52,234 | New |
| Eagle Rock Investment Company, LLC | 42,000 | $41.2K | 0.01% | +20,000+90.9% | Added |
| Susquehanna International Group, LLP | 49,815 | $40.8K | 0.00% | +25,903+108.3% | Added |
| International Assets Investment Management, LLC | 48,830 | $40.0K | 0.00% | +10,880+28.7% | Added |
| Morgan Stanley | 47,781 | $39.2K | 0.00% | −30,103−38.7% | Reduced |
| Credit Suisse AG | 40,000 | $32.8K | 0.00% | 00.0% | Unchanged |
| Man Group plc | 38,864 | $31.9K | 0.00% | +25,464+190.0% | Added |
| Two Sigma Advisers, LP | 34,800 | $28.5K | 0.00% | −9,700−21.8% | Reduced |
| Keybank National Association | 26,455 | $21.7K | 0.00% | 00.0% | Unchanged |
| Two Sigma Investments, LP | 26,162 | $21.5K | 0.00% | −128,633−83.1% | Reduced |
| Bank of America Corp | 24,451 | $20.0K | 0.00% | −39,375−61.7% | Reduced |
| Group One Trading, L.P. | 23,245 | $19.1K | 0.00% | −13,374−36.5% | Reduced |
| Royal Bank of Canada | 23,285 | $19.0K | 0.00% | −123,055−84.1% | Reduced |
| Beddow Capital Management Inc | 17,500 | $14.0K | 0.01% | +5,000+40.0% | Added |
| Two Sigma Securities, LLC | 15,489 | $12.7K | 0.00% | +15,489 | New |
| Commonwealth Equity Services, LLC | 15,700 | $12.0K | 0.00% | +15,700 | New |
| StoneX Group Inc. | 14,596 | $12.0K | 0.00% | +14,596 | New |
| Moloney Securities Asset Management, LLC | 13,250 | $10.9K | 0.00% | +13,250 | New |
| Formidable Asset Management, LLC | 12,775 | $10.0K | 0.00% | +1,100+9.4% | Added |
| Prudential Financial Inc | 11,200 | $9.18K | 0.00% | +11,200 | New |
| Merit Financial Group, LLC | 11,000 | $9.02K | 0.00% | 00.0% | Unchanged |
| Platform Technology Partners | 11,000 | $9.02K | 0.00% | 00.0% | Unchanged |
| Advisor Group Holdings, Inc. | 12,155 | $9.00K | 0.00% | 00.0% | Unchanged |
| Oppenheimer & Co Inc | 10,733 | $8.80K | 0.00% | 00.0% | Unchanged |
| UBS Group AG | 8,313 | $6.82K | 0.00% | −53,814−86.6% | Reduced |
| Tower Research Capital LLC (TRC) | 4,291 | $3.00K | 0.00% | −33,009−88.5% | Reduced |
| Simplex Trading, LLC | 3,916 | $3.00K | 0.00% | −15−0.4% | Reduced |
| Belvedere Trading LLC | 2,851 | $2.34K | 0.00% | +2,851 | New |
| Federated Hermes, Inc. | 2,774 | $2.27K | 0.00% | +1,622+140.8% | Added |
| C M Bidwell & Associates Ltd | 1,785 | $1.46K | 0.00% | +1,040+139.6% | Added |
| BNP Paribas Arbitrage, SA | 1,468 | $1.20K | 0.00% | +996+211.0% | Added |
| JPMorgan Chase & Co | 1,407 | $1.00K | 0.00% | −2,351−62.6% | Reduced |
| Antonetti Capital Management LLC | 1,200 | $984 | 0.00% | 00.0% | Unchanged |
| Wells Fargo & Company | 759 | $622 | 0.00% | +24+3.3% | Added |
| Larson Financial Group LLC | 751 | $616 | 0.00% | 00.0% | Unchanged |
| Money Concepts Capital Corp | 613 | $502 | 0.00% | −45,977−98.7% | Reduced |
| Newbridge Financial Services Group, Inc. | 405 | $332 | 0.00% | 00.0% | Unchanged |
| Cornerstone Planning Group LLC | 250 | $255 | 0.00% | +250 | New |
| TCI Wealth Advisors, Inc. | 220 | $180 | 0.00% | −100−31.3% | Reduced |
| AllSquare Wealth Management LLC | 83 | $68 | 0.00% | 00.0% | Unchanged |
| NewSquare Capital LLC | 80 | $66 | 0.00% | +80 | New |
| Private Advisor Group, LLC | 17,325 | $14 | 0.00% | 00.0% | Unchanged |
| Financial Management Professionals, Inc. | 600 | $0 | 0.00% | +100+20.0% | Added |
| GWM Advisors LLC | 116 | $0 | 0.00% | +116 | New |
| IFP Advisors, Inc | 1,585 | – | – | 00.0% | Unchanged |
| Connor, Clark & Lunn Investment Management Ltd. | 0 | $0 | 0.00% | −98,062−100.0% | Sold out |
| Qube Research & Technologies Ltd | 0 | $0 | 0.00% | −30,311−100.0% | Sold out |
| Ameriprise Financial Inc | 0 | $0 | 0.00% | −15,700−100.0% | Sold out |
| Charles Schwab Investment Management Inc | 0 | $0 | 0.00% | −12,172−100.0% | Sold out |
| LMR Partners LLP | 0 | $0 | 0.00% | −12,608−100.0% | Sold out |
| Balyasny Asset Management LLC | 0 | $0 | 0.00% | −10,632−100.0% | Sold out |
| Ipswich Investment Management Co., Inc. | 0 | $0 | 0.00% | −10,000−100.0% | Sold out |
| Quantbot Technologies LP | 0 | $0 | 0.00% | −3,301−100.0% | Sold out |
| China Universal Asset Management Co., Ltd. | 0 | $0 | 0.00% | −544−100.0% | Sold out |
| Daiwa Securities Group Inc. | 0 | $0 | 0.00% | −77−100.0% | Sold out |
| ACT Capital Management, LLC | – | – | – | – | Not filed |
| Kingsbury Capital Investment Advisors LLC | – | – | – | – | Not filed |