Medallion Financial (MFIN) Form 3: Rozovsky Declares Equity and Options

Rhea-AI Filing Summary

Samantha K. Rozovsky filed a Form 3 reporting initial beneficial ownership in Medallion Financial Corp (MFIN). She reports directly owning 13,815 shares of common stock and two exercisable option grants covering 583 shares (exercise $6.55, exercisable 03/21/2029) and 2,019 shares (exercise $7.25, exercisable 12/20/2029). Her role is listed as Officer (Chief Compliance Officer and Associate General Counsel) and Director. The form is dated 08/18/2025.

Positive

• Insider disclosure completed—Form 3 establishes required transparency for an officer and director
• Direct ownership disclosed of 13,815 common shares and option details provided with exercise prices and dates

Negative

• None.

Insights

Corporate Governance Expert

TL;DR Officer and director reports direct equity and stock options, establishing insider status without material change in control.

Rozovsky's Form 3 documents her initial insider filing for Medallion Financial Corp, showing direct ownership of 13,815 common shares and stock options totaling 2,602 underlying shares with specified exercise prices and future exercisability. This filing formalizes disclosure obligations and signals governance transparency; it does not by itself indicate a material corporate event.

Securities Analyst

TL;DR Reporting confirms officer's equity stake and option positions; impact on capitalization is routine and informational.

The report lists two option grants with exercise prices of $6.55 and $7.25 and exercisable dates in 2029, reflecting previously granted compensation vesting schedules noted in the explanations. The disclosed positions are modest relative to company capitalization and are primarily relevant for insider transaction tracking and potential future dilution analysis.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Rozovsky Samantha K.

(Last) (First) (Middle)

C/O MEDALLION FINANCIAL CORP.

437 MADISON AVENUE

(Street)

NEW YORK NY 10022

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
08/18/2025

3. Issuer Name and Ticker or Trading Symbol
MEDALLION FINANCIAL CORP [ MFIN ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	See Remarks

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	13,815	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Common Stock (right to buy)	(1)	03/21/2029	Common Stock	583	$6.55	D
Common Stock (right to buy)	(2)	12/20/2029	Common Stock	2,019	$7.25	D

Explanation of Responses:

1. One-fourth of the options became exercisable on February 14, 2020, February 14, 2021, February 14, 2022 and February 14, 2023.

2. One-fourth of the options became exercisable on February 20, 2021, February 20, 2022, February 20, 2023 and February 20, 2024.

Remarks:

Chief Compliance Officer and Associate General Counsel

	/s/ Samantha K. Rozovsky	08/18/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

What did Samantha K. Rozovsky report on Form 3 for MFIN?

She reported direct ownership of 13,815 common shares and stock options covering 583 and 2,019 shares with exercise prices of $6.55 and $7.25, respectively.

What is Rozovsky’s role at Medallion Financial Corp (MFIN)?

Her role is listed as Officer (Chief Compliance Officer and Associate General Counsel) and Director.

When was the Form 3 filed and what date triggers the statement?

The form is dated and lists the event date as 08/18/2025.

Are the options immediately exercisable?

The reported options have exercisable dates of 03/21/2029 for 583 shares and 12/20/2029 for 2,019 shares, so they are not currently exercisable.

What are the exercise prices for the reported options?

The option exercise prices are $6.55 and $7.25 as disclosed on the form.