# EDGAR Filing Document

**Accession Number:** 0001965638
**File Stem:** 0001209191-23-011171
**Filing Date:** 2023-2
**Character Count:** 4977
**Document Hash:** b3cb7a1dad4d48ba22b3762c994a508e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-011171.hdr.sgml**: 20230221

**ACCESSION NUMBER**: 0001209191-23-011171

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230216

**FILED AS OF DATE**: 20230221

**DATE AS OF CHANGE**: 20230221

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Haley David Justin
- **CENTRAL INDEX KEY:** 0001965638

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37747
- **FILM NUMBER:** 23648603

**MAIL ADDRESS:**
- **STREET 1:** 1100 EAST 6600 SOUTH
- **STREET 2:** SUITE 510
- **CITY:** SALT LAKE CITY
- **STATE:** UT
- **ZIP:** 84121
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MEDALLION FINANCIAL CORP
- **CENTRAL INDEX KEY:** 0001000209
- **STANDARD INDUSTRIAL CLASSIFICATION:** FINANCE SERVICES [6199]
- **IRS NUMBER:** 043291176
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 437 MADISON AVE 38 TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022
- **BUSINESS PHONE:** 2123282153

**MAIL ADDRESS:**
- **STREET 1:** 437 MADISON AVENUE
- **STREET 2:** 38TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022

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

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Haley David Justin<br><sub>(Last) (First) (Middle)</sub><br>C/O MEDALLION FINANCIAL CORP.<br>437 MADISON AVENUE<br><sub>(Street)</sub><br>NEW YORK, NY 10022<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>MEDALLION FINANCIAL CORP [ MFIN ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-02-16 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_See Remarks_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Common Stock | 46441 | D |  |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Common Stock (right to buy) | <sup>(1)</sup> | 2029-03-21 | Common Stock | 9983 | $6.55 | D |  |
| Common Stock (right to buy) | <sup>(2)</sup> | 2030-02-17 | Common Stock | 13274 | $6.68 | D |  |
| Common Stock (right to buy) | <sup>(3)</sup> | 2031-03-04 | Common Stock | 14290 | $6.79 | D |  |

---

### Footnotes:

(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 17, 2021, February 17, 2022 and February 17, 2023. The remaining one-fourth of the options will become exercisable on February 17 2024.

(3) One-fourth of the options became exercisable on March 4, 2022. The remaining three-fourths of the options will become exercisable on March 4, 2023, March 4, 2024 and March 4, 2025.

**Remarks:**
Chief Financial Officer of Medallion Bank

**Signature:** /s/ David Justin Haley  
**Date:** 2023-02-21

### Remarks:

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 4 (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.**