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 |
|---|---|---|---|---|---|
| Tower Research Capital LLC (TRC) | 91 | $0 | 0.00% | −4,200−97.9% | Reduced |
| BNP Paribas Arbitrage, SA | 1 | $1 | 0.00% | −1,467−99.9% | Reduced |
| NewSquare Capital LLC | 80 | $56 | 0.00% | 00.0% | Unchanged |
| AllSquare Wealth Management LLC | 83 | $58 | 0.00% | 00.0% | Unchanged |
| GWM Advisors LLC | 116 | $81 | 0.00% | 00.0% | Unchanged |
| Caldwell Sutter Capital, Inc. | 200 | $140 | 0.00% | +200 | New |
| TCI Wealth Advisors, Inc. | 220 | $154 | 0.00% | 00.0% | Unchanged |
| Newbridge Financial Services Group, Inc. | 405 | $283 | 0.00% | 00.0% | Unchanged |
| Larson Financial Group LLC | 751 | $525 | 0.00% | 00.0% | Unchanged |
| Wells Fargo & Company | 864 | $603 | 0.00% | +105+13.8% | Added |
| Antonetti Capital Management LLC | 1,200 | $839 | 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 |
| C M Bidwell & Associates Ltd | 1,785 | $1.25K | 0.00% | 00.0% | Unchanged |
| Federated Hermes, Inc. | 2,638 | $1.84K | 0.00% | −136−4.9% | Reduced |
| Central Trust Co | 4,000 | $2.80K | 0.00% | +4,000 | New |
| Group One Trading, L.P. | 6,774 | $4.73K | 0.00% | −16,471−70.9% | Reduced |
| Advisor Group Holdings, Inc. | 10,450 | $7.29K | 0.00% | −1,705−14.0% | Reduced |
| Oppenheimer & Co Inc | 10,733 | $7.50K | 0.00% | 00.0% | Unchanged |
| Platform Technology Partners | 11,000 | $7.69K | 0.00% | 00.0% | Unchanged |
| Moloney Securities Asset Management, LLC | 12,250 | $8.56K | 0.00% | −1,000−7.5% | 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 |
| Susquehanna International Group, LLP | 14,215 | $9.93K | 0.00% | −35,600−71.5% | Reduced |
| Formidable Asset Management, LLC | 15,175 | $11.0K | 0.00% | +2,400+18.8% | Added |
| UBS Group AG | 15,805 | $11.0K | 0.00% | +7,492+90.1% | Added |
| Private Advisor Group, LLC | 17,325 | $12.1K | 0.00% | 00.0% | Unchanged |
| Royal Bank of Canada | 22,812 | $16.0K | 0.00% | −473−2.0% | Reduced |
| Keybank National Association | 26,455 | $18.5K | 0.00% | 00.0% | Unchanged |
| Simplex Trading, LLC | 27,440 | $19.0K | 0.00% | +23,524+600.7% | Added |
| Barclays PLC | 29,251 | $20.4K | 0.00% | −78,066−72.7% | Reduced |
| Two Sigma Advisers, LP | 34,800 | $24.3K | 0.00% | 00.0% | Unchanged |
| XTX Topco Ltd | 37,874 | $26.5K | 0.01% | −145,705−79.4% | Reduced |
| Prudential Financial Inc | 39,000 | $27.3K | 0.00% | +27,800+248.2% | Added |
| Bank of America Corp | 39,416 | $27.5K | 0.00% | +14,965+61.2% | Added |
| Credit Suisse AG | 40,000 | $28.0K | 0.00% | 00.0% | Unchanged |
| Eagle Rock Investment Company, LLC | 42,000 | $29.4K | 0.01% | 00.0% | Unchanged |
| Morgan Stanley | 44,589 | $31.2K | 0.00% | −3,192−6.7% | Reduced |
| Two Sigma Investments, LP | 47,410 | $33.1K | 0.00% | +21,248+81.2% | Added |
| Jane Street Group, LLC | 51,083 | $35.7K | 0.00% | −80,486−61.2% | Reduced |
| Arete Wealth Advisors, LLC | 53,965 | $38.0K | 0.00% | −8,191−13.2% | Reduced |
| Franklin Resources Inc | 57,360 | $40.1K | 0.00% | 00.0% | Unchanged |
| International Assets Investment Management, LLC | 58,400 | $40.8K | 0.01% | +9,570+19.6% | Added |
| Forefront Analytics, LLC | 61,156 | $42.7K | 0.02% | −2,200−3.5% | Reduced |
| Northern Trust Corp | 86,824 | $60.7K | 0.00% | +26,919+44.9% | Added |
| Dimensional Fund Advisors LP | 95,083 | $66.2K | 0.00% | −106,981−52.9% | Reduced |
| Cornercap Investment Counsel Inc | 113,219 | $79.1K | 0.01% | +4,795+4.4% | Added |
| Citadel Advisors LLC | 118,652 | $82.9K | 0.00% | −492,555−80.6% | Reduced |
| Bank of New York Mellon Corp | 132,393 | $92.5K | 0.00% | 00.0% | Unchanged |
| Knights of Columbus Asset Advisors LLC | 157,769 | $110.2K | 0.01% | −125,184−44.2% | Reduced |
| State Street Corp | 171,566 | $119.9K | 0.00% | 00.0% | Unchanged |
| Bridgeway Capital Management, LLC | 207,500 | $145.0K | 0.00% | +50,000+31.7% | Added |
| Gsa Capital Partners LLP | 230,292 | $161.0K | 0.02% | −46,111−16.7% | Reduced |
| FMR LLC | 243,135 | $169.9K | 0.00% | +9,942+4.3% | Added |
| Macquarie Group Ltd | 350,000 | $245.0K | 0.00% | 00.0% | Unchanged |
| Stifel Financial Corp | 387,625 | $270.9K | 0.00% | −31,800−7.6% | Reduced |
| Geode Capital Management, LLC | 394,312 | $275.5K | 0.00% | +8,000+2.1% | Added |
| Millennium Management LLC | 419,495 | $293.0K | 0.00% | +4,225+1.0% | Added |
| Goldman Sachs Group Inc | 633,569 | $442.7K | 0.00% | −450,898−41.6% | Reduced |
| Renaissance Technologies LLC | 635,000 | $444.0K | 0.00% | −79,155−11.1% | Reduced |
| Laurion Capital Management LP | 665,400 | $465.0K | 0.02% | 00.0% | Unchanged |
| BlackRock Inc. | 691,078 | $482.9K | 0.00% | +13,673+2.0% | Added |
| Nikko Asset Management Americas, Inc. | 999,026 | $649.4K | 0.01% | −72,987−6.8% | Reduced |
| Sumitomo Mitsui Trust Holdings, Inc. | 999,026 | $698.1K | 0.00% | −72,987−6.8% | Reduced |
| Citigroup Inc | 1,046,157 | $731.1K | 0.00% | 00.0% | Unchanged |
| Acadian Asset Management LLC | 1,051,718 | $733.0K | 0.00% | −40,638−3.7% | Reduced |
| DAFNA Capital Management LLC | 1,100,000 | $768.7K | 0.23% | +317,000+40.5% | Added |
| Tang Capital Management LLC | 1,300,000 | $908.4K | 0.14% | +870,353+202.6% | Added |
| Vanguard Group Inc | 2,309,286 | $1.61M | 0.00% | 00.0% | Unchanged |
| Atlas Venture Associates IX, LLC | 2,945,453 | $2.06M | 9.68% | 00.0% | Unchanged |
| EcoR1 Capital, LLC | 3,082,959 | $2.15M | 0.07% | −841,754−21.4% | Reduced |
| ARK Investment Management LLCSuperinvestorARK Invest | 5,496,146 | $3.84M | 0.03% | −71,078−1.3% | 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 |