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 |
|---|---|---|---|---|---|
| Financial Management Professionals, Inc. | 600 | $0 | 0.00% | +100+20.0% | Added |
| GWM Advisors LLC | 116 | $0 | 0.00% | +116 | New |
| Private Advisor Group, LLC | 17,325 | $14 | 0.00% | 00.0% | Unchanged |
| NewSquare Capital LLC | 80 | $66 | 0.00% | +80 | New |
| AllSquare Wealth Management LLC | 83 | $68 | 0.00% | 00.0% | Unchanged |
| TCI Wealth Advisors, Inc. | 220 | $180 | 0.00% | −100−31.3% | Reduced |
| Cornerstone Planning Group LLC | 250 | $255 | 0.00% | +250 | New |
| Newbridge Financial Services Group, Inc. | 405 | $332 | 0.00% | 00.0% | Unchanged |
| Money Concepts Capital Corp | 613 | $502 | 0.00% | −45,977−98.7% | Reduced |
| Larson Financial Group LLC | 751 | $616 | 0.00% | 00.0% | Unchanged |
| Wells Fargo & Company | 759 | $622 | 0.00% | +24+3.3% | Added |
| Antonetti Capital Management LLC | 1,200 | $984 | 0.00% | 00.0% | Unchanged |
| JPMorgan Chase & Co | 1,407 | $1.00K | 0.00% | −2,351−62.6% | Reduced |
| BNP Paribas Arbitrage, SA | 1,468 | $1.20K | 0.00% | +996+211.0% | Added |
| C M Bidwell & Associates Ltd | 1,785 | $1.46K | 0.00% | +1,040+139.6% | Added |
| Federated Hermes, Inc. | 2,774 | $2.27K | 0.00% | +1,622+140.8% | Added |
| Belvedere Trading LLC | 2,851 | $2.34K | 0.00% | +2,851 | New |
| 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 |
| UBS Group AG | 8,313 | $6.82K | 0.00% | −53,814−86.6% | Reduced |
| Oppenheimer & Co Inc | 10,733 | $8.80K | 0.00% | 00.0% | Unchanged |
| Advisor Group Holdings, Inc. | 12,155 | $9.00K | 0.00% | 00.0% | Unchanged |
| 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 |
| Prudential Financial Inc | 11,200 | $9.18K | 0.00% | +11,200 | New |
| Formidable Asset Management, LLC | 12,775 | $10.0K | 0.00% | +1,100+9.4% | Added |
| Moloney Securities Asset Management, LLC | 13,250 | $10.9K | 0.00% | +13,250 | New |
| StoneX Group Inc. | 14,596 | $12.0K | 0.00% | +14,596 | New |
| Commonwealth Equity Services, LLC | 15,700 | $12.0K | 0.00% | +15,700 | New |
| Two Sigma Securities, LLC | 15,489 | $12.7K | 0.00% | +15,489 | New |
| Beddow Capital Management Inc | 17,500 | $14.0K | 0.01% | +5,000+40.0% | Added |
| Royal Bank of Canada | 23,285 | $19.0K | 0.00% | −123,055−84.1% | Reduced |
| Group One Trading, L.P. | 23,245 | $19.1K | 0.00% | −13,374−36.5% | Reduced |
| Bank of America Corp | 24,451 | $20.0K | 0.00% | −39,375−61.7% | Reduced |
| Two Sigma Investments, LP | 26,162 | $21.5K | 0.00% | −128,633−83.1% | Reduced |
| Keybank National Association | 26,455 | $21.7K | 0.00% | 00.0% | Unchanged |
| Two Sigma Advisers, LP | 34,800 | $28.5K | 0.00% | −9,700−21.8% | Reduced |
| Man Group plc | 38,864 | $31.9K | 0.00% | +25,464+190.0% | Added |
| Credit Suisse AG | 40,000 | $32.8K | 0.00% | 00.0% | Unchanged |
| Morgan Stanley | 47,781 | $39.2K | 0.00% | −30,103−38.7% | Reduced |
| International Assets Investment Management, LLC | 48,830 | $40.0K | 0.00% | +10,880+28.7% | Added |
| Susquehanna International Group, LLP | 49,815 | $40.8K | 0.00% | +25,903+108.3% | Added |
| Eagle Rock Investment Company, LLC | 42,000 | $41.2K | 0.01% | +20,000+90.9% | Added |
| Ergoteles LLC | 52,234 | $42.8K | 0.00% | +52,234 | New |
| Franklin Resources Inc | 57,360 | $47.0K | 0.00% | 00.0% | Unchanged |
| Northern Trust Corp | 59,905 | $49.1K | 0.00% | 00.0% | Unchanged |
| Arete Wealth Advisors, LLC | 62,156 | $51.0K | 0.00% | +4,966+8.7% | Added |
| Forefront Analytics, LLC | 63,356 | $52.0K | 0.03% | −3,482−5.2% | Reduced |
| Barclays PLC | 107,317 | $88.0K | 0.00% | −310,448−74.3% | Reduced |
| Cornercap Investment Counsel Inc | 108,424 | $88.9K | 0.02% | 00.0% | Unchanged |
| Marshall Wace, LLP | 110,928 | $91.0K | 0.00% | −96,025−46.4% | Reduced |
| Jane Street Group, LLC | 131,569 | $107.9K | 0.00% | +131,569 | New |
| Bank of New York Mellon Corp | 132,393 | $108.6K | 0.00% | −48,352−26.8% | Reduced |
| Bridgeway Capital Management, LLC | 157,500 | $129.2K | 0.00% | −25,000−13.7% | Reduced |
| State Street Corp | 171,566 | $140.7K | 0.00% | 00.0% | Unchanged |
| XTX Topco Ltd | 183,579 | $150.5K | 0.03% | −182,642−49.9% | Reduced |
| Dimensional Fund Advisors LP | 202,064 | $166.0K | 0.00% | 00.0% | Unchanged |
| FMR LLC | 233,193 | $191.2K | 0.00% | −140,453−37.6% | Reduced |
| Gsa Capital Partners LLP | 276,403 | $227.0K | 0.03% | +156,020+129.6% | Added |
| Knights of Columbus Asset Advisors LLC | 282,953 | $232.0K | 0.02% | −321−0.1% | Reduced |
| Macquarie Group Ltd | 350,000 | $287.0K | 0.00% | 00.0% | Unchanged |
| Geode Capital Management, LLC | 386,312 | $316.0K | 0.00% | +13,698+3.7% | Added |
| Millennium Management LLC | 415,270 | $341.0K | 0.00% | +41,760+11.2% | Added |
| Stifel Financial Corp | 419,425 | $343.9K | 0.00% | −10,940−2.5% | Reduced |
| Tang Capital Management LLC | 429,647 | $352.3K | 0.05% | +429,647 | New |
| Citadel Advisors LLC | 611,207 | $501.2K | 0.00% | −780,029−56.1% | Reduced |
| Laurion Capital Management LP | 665,400 | $545.6K | 0.02% | 00.0% | Unchanged |
| BlackRock Inc. | 677,405 | $555.5K | 0.00% | −349,302−34.0% | Reduced |
| Renaissance Technologies LLC | 714,155 | $586.0K | 0.00% | −271,188−27.5% | Reduced |
| DAFNA Capital Management LLC | 783,000 | $642.1K | 0.18% | −317,000−28.8% | Reduced |
| Nikko Asset Management Americas, Inc. | 1,072,013 | $857.6K | 0.01% | −32,217−2.9% | Reduced |
| Citigroup Inc | 1,046,157 | $857.8K | 0.00% | −615−0.1% | Reduced |
| Sumitomo Mitsui Trust Holdings, Inc. | 1,072,013 | $879.1K | 0.00% | −32,217−2.9% | Reduced |
| Goldman Sachs Group Inc | 1,084,467 | $889.3K | 0.00% | −183,780−14.5% | Reduced |
| Acadian Asset Management LLC | 1,092,356 | $894.0K | 0.00% | +191,527+21.3% | Added |
| Vanguard Group Inc | 2,309,286 | $1.89M | 0.00% | +8160.0% | Added |
| Atlas Venture Associates IX, LLC | 2,945,453 | $2.42M | 12.02% | 00.0% | Unchanged |
| EcoR1 Capital, LLC | 3,924,713 | $3.22M | 0.10% | 00.0% | Unchanged |
| ARK Investment Management LLCSuperinvestorARK Invest | 5,567,224 | $4.57M | 0.04% | −468,467−7.8% | Reduced |
| 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 |