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, Q1 2023
Institutional positions in Surface Oncology, Inc. as of Mar 31, 2023. 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
- 72
- −7 vs. Q4 2022
- Shares held
- 26.9M
- −1.65M (−5.8%) vs. Q4 2022
- Total value
- $18.8M
- −$4.63M (−19.8%) vs. Q4 2022
- New holders
- 2
- 18 more added
- Sold out
- 9
- 28 more reduced
1 institution that held it in Q4 2022 haven't filed for Q1 2023 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q4 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, Q1 2023
Shares, value and share of portfolio for each institution holding Surface Oncology, Inc.; share changes are against Q4 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| ARK Investment Management LLCSuperinvestorARK Invest | 5,496,146 | $3.84M | 0.03% | −71,078−1.3% | Reduced |
| EcoR1 Capital, LLC | 3,082,959 | $2.15M | 0.07% | −841,754−21.4% | Reduced |
| Atlas Venture Associates IX, LLC | 2,945,453 | $2.06M | 9.68% | 00.0% | Unchanged |
| Vanguard Group Inc | 2,309,286 | $1.61M | 0.00% | 00.0% | Unchanged |
| Tang Capital Management LLC | 1,300,000 | $908.4K | 0.14% | +870,353+202.6% | Added |
| DAFNA Capital Management LLC | 1,100,000 | $768.7K | 0.23% | +317,000+40.5% | Added |
| Acadian Asset Management LLC | 1,051,718 | $733.0K | 0.00% | −40,638−3.7% | Reduced |
| Citigroup Inc | 1,046,157 | $731.1K | 0.00% | 00.0% | Unchanged |
| Sumitomo Mitsui Trust Holdings, Inc. | 999,026 | $698.1K | 0.00% | −72,987−6.8% | Reduced |
| Nikko Asset Management Americas, Inc. | 999,026 | $649.4K | 0.01% | −72,987−6.8% | Reduced |
| BlackRock Inc. | 691,078 | $482.9K | 0.00% | +13,673+2.0% | Added |
| Laurion Capital Management LP | 665,400 | $465.0K | 0.02% | 00.0% | Unchanged |
| Renaissance Technologies LLC | 635,000 | $444.0K | 0.00% | −79,155−11.1% | Reduced |
| Goldman Sachs Group Inc | 633,569 | $442.7K | 0.00% | −450,898−41.6% | Reduced |
| Millennium Management LLC | 419,495 | $293.0K | 0.00% | +4,225+1.0% | Added |
| Geode Capital Management, LLC | 394,312 | $275.5K | 0.00% | +8,000+2.1% | Added |
| Stifel Financial Corp | 387,625 | $270.9K | 0.00% | −31,800−7.6% | Reduced |
| Macquarie Group Ltd | 350,000 | $245.0K | 0.00% | 00.0% | Unchanged |
| FMR LLC | 243,135 | $169.9K | 0.00% | +9,942+4.3% | Added |
| Gsa Capital Partners LLP | 230,292 | $161.0K | 0.02% | −46,111−16.7% | Reduced |
| Bridgeway Capital Management, LLC | 207,500 | $145.0K | 0.00% | +50,000+31.7% | Added |
| State Street Corp | 171,566 | $119.9K | 0.00% | 00.0% | Unchanged |
| Knights of Columbus Asset Advisors LLC | 157,769 | $110.2K | 0.01% | −125,184−44.2% | Reduced |
| Bank of New York Mellon Corp | 132,393 | $92.5K | 0.00% | 00.0% | Unchanged |
| Citadel Advisors LLC | 118,652 | $82.9K | 0.00% | −492,555−80.6% | Reduced |
| Cornercap Investment Counsel Inc | 113,219 | $79.1K | 0.01% | +4,795+4.4% | Added |
| Dimensional Fund Advisors LP | 95,083 | $66.2K | 0.00% | −106,981−52.9% | Reduced |
| Northern Trust Corp | 86,824 | $60.7K | 0.00% | +26,919+44.9% | Added |
| Forefront Analytics, LLC | 61,156 | $42.7K | 0.02% | −2,200−3.5% | Reduced |
| International Assets Investment Management, LLC | 58,400 | $40.8K | 0.01% | +9,570+19.6% | Added |
| Franklin Resources Inc | 57,360 | $40.1K | 0.00% | 00.0% | Unchanged |
| Arete Wealth Advisors, LLC | 53,965 | $38.0K | 0.00% | −8,191−13.2% | Reduced |
| Jane Street Group, LLC | 51,083 | $35.7K | 0.00% | −80,486−61.2% | Reduced |
| Two Sigma Investments, LP | 47,410 | $33.1K | 0.00% | +21,248+81.2% | Added |
| Morgan Stanley | 44,589 | $31.2K | 0.00% | −3,192−6.7% | Reduced |
| Eagle Rock Investment Company, LLC | 42,000 | $29.4K | 0.01% | 00.0% | Unchanged |
| Credit Suisse AG | 40,000 | $28.0K | 0.00% | 00.0% | Unchanged |
| Bank of America Corp | 39,416 | $27.5K | 0.00% | +14,965+61.2% | Added |
| Prudential Financial Inc | 39,000 | $27.3K | 0.00% | +27,800+248.2% | Added |
| XTX Topco Ltd | 37,874 | $26.5K | 0.01% | −145,705−79.4% | Reduced |
| Two Sigma Advisers, LP | 34,800 | $24.3K | 0.00% | 00.0% | Unchanged |
| Barclays PLC | 29,251 | $20.4K | 0.00% | −78,066−72.7% | Reduced |
| Simplex Trading, LLC | 27,440 | $19.0K | 0.00% | +23,524+600.7% | Added |
| Keybank National Association | 26,455 | $18.5K | 0.00% | 00.0% | Unchanged |
| Royal Bank of Canada | 22,812 | $16.0K | 0.00% | −473−2.0% | Reduced |
| Private Advisor Group, LLC | 17,325 | $12.1K | 0.00% | 00.0% | Unchanged |
| UBS Group AG | 15,805 | $11.0K | 0.00% | +7,492+90.1% | Added |
| Formidable Asset Management, LLC | 15,175 | $11.0K | 0.00% | +2,400+18.8% | Added |
| Susquehanna International Group, LLP | 14,215 | $9.93K | 0.00% | −35,600−71.5% | Reduced |
| Beddow Capital Management Inc | 12,500 | $9.00K | 0.00% | −5,000−28.6% | Reduced |
| Commonwealth Equity Services, LLC | 13,200 | $9.00K | 0.00% | −2,500−15.9% | Reduced |
| Moloney Securities Asset Management, LLC | 12,250 | $8.56K | 0.00% | −1,000−7.5% | Reduced |
| Platform Technology Partners | 11,000 | $7.69K | 0.00% | 00.0% | Unchanged |
| Oppenheimer & Co Inc | 10,733 | $7.50K | 0.00% | 00.0% | Unchanged |
| Advisor Group Holdings, Inc. | 10,450 | $7.29K | 0.00% | −1,705−14.0% | Reduced |
| Group One Trading, L.P. | 6,774 | $4.73K | 0.00% | −16,471−70.9% | Reduced |
| Central Trust Co | 4,000 | $2.80K | 0.00% | +4,000 | New |
| Federated Hermes, Inc. | 2,638 | $1.84K | 0.00% | −136−4.9% | Reduced |
| C M Bidwell & Associates Ltd | 1,785 | $1.25K | 0.00% | 00.0% | Unchanged |
| JPMorgan Chase & Co | 1,407 | $1.00K | 0.00% | 00.0% | Unchanged |
| Financial Management Professionals, Inc. | 1,000 | $1.00K | 0.00% | +400+66.7% | Added |
| Antonetti Capital Management LLC | 1,200 | $839 | 0.00% | 00.0% | Unchanged |
| Wells Fargo & Company | 864 | $603 | 0.00% | +105+13.8% | Added |
| Larson Financial Group LLC | 751 | $525 | 0.00% | 00.0% | Unchanged |
| Newbridge Financial Services Group, Inc. | 405 | $283 | 0.00% | 00.0% | Unchanged |
| TCI Wealth Advisors, Inc. | 220 | $154 | 0.00% | 00.0% | Unchanged |
| Caldwell Sutter Capital, Inc. | 200 | $140 | 0.00% | +200 | New |
| GWM Advisors LLC | 116 | $81 | 0.00% | 00.0% | Unchanged |
| AllSquare Wealth Management LLC | 83 | $58 | 0.00% | 00.0% | Unchanged |
| NewSquare Capital LLC | 80 | $56 | 0.00% | 00.0% | Unchanged |
| BNP Paribas Arbitrage, SA | 1 | $1 | 0.00% | −1,467−99.9% | Reduced |
| Tower Research Capital LLC (TRC) | 91 | $0 | 0.00% | −4,200−97.9% | Reduced |
| Marshall Wace, LLP | 0 | $0 | 0.00% | −110,928−100.0% | Sold out |
| Ergoteles LLC | 0 | $0 | 0.00% | −52,234−100.0% | Sold out |
| Man Group plc | 0 | $0 | 0.00% | −38,864−100.0% | Sold out |
| Two Sigma Securities, LLC | 0 | $0 | 0.00% | −15,489−100.0% | Sold out |
| StoneX Group Inc. | 0 | $0 | 0.00% | −14,596−100.0% | Sold out |
| Merit Financial Group, LLC | 0 | $0 | 0.00% | −11,000−100.0% | Sold out |
| Belvedere Trading LLC | 0 | $0 | 0.00% | −2,851−100.0% | Sold out |
| Money Concepts Capital Corp | 0 | $0 | 0.00% | −613−100.0% | Sold out |
| IFP Advisors, Inc | 0 | $0 | 0.00% | −1,585−100.0% | Sold out |
| Cornerstone Planning Group LLC | – | – | – | – | Not filed |