Monday, October 29, 2018

Significant Activist Hedge Fund Activity (Last 7 Days)

These are the latest Schedule 13D forms filed by activist investors in the last 7 days. Activist investors are investors that make an investment with the intention of influencing management in some way. There is evidence that following activist investors into investments can generate excess returns. Schedule 13G forms, in contrast, are filed by significant investors with no intention of influencing management (such as Index funds).

There is always a lot of interest in insider trades, but what a lot of people probably don't realize is that hedge fund activity is probably more predictive of future returns than insider activity. The reason is that hedge funds (a) have large research budgets, and (b) have a choice where to put their money. In contract, insiders have no choice where to put their money, but only when to time their transactions.

New Filings

This table lists new 13D filings in the last week. A new filing does not necessarily indicate a new position, as investors frequently accumulate in advance before reaching the filing threshold.

Date Form Company Investor Shares Ownership Change
10‑29 13D PHAS / PhaseBio Pharmaceuticals Inc ASTRAZENECA PLC 3,004,554 12.6%
10‑29 13D CYAN / Cyanotech Corp. Meridian OHC Partners, LP 749,610 13.3% 0.00
10‑26 13D NRCG / NRC GROUP HOLDINGS CORP. Jfl Gp Investors Iii, Llc 22,232,312 59.9%
10‑26 13D SBSA / Spanish Broadcasting System, Inc. Bluestone Financial LTD 765,000 18.358% 26.52
10‑26 13D CSX / CSX Corp. Mr Argent Advisor Llc 42,765,207 5.1%
10‑26 13D NRCG / NRC GROUP HOLDINGS CORP. CYRUS CAPITAL PARTNERS, L.P. 5,703,415 13.9%
10‑26 13D MDQZZ / MedEquities Realty Trust, Inc. GOLDMAN SACHS GROUP INC 2,419,626 7.6% 7.04
10‑26 13D RYES / Rise Resources Inc. Yamana Gold Inc. 26,250,000 17.8%
10‑26 13D CHPE / Chaparral Energy Inc Strategic Value Partners, LLC 7,808,937 16.8%
10‑26 13D GSHT / Gores Holdings II, Inc. Gores Sponsor Ii Llc 9,292,216 5.8%
10‑26 13D FLKS / Flex Pharma, Inc. Westphal Christoph H 3,941,118 21.8%
10‑26 13D ALN / American Lorain Corp. Jin Yimin 1,176,471 21.4%
10‑26 13D ALN / American Lorain Corp. Yu Hongxiang 1,176,471 21.4%
10‑26 13D EGC / Energy XXI Gulf Coast, Inc. OXFORD ASSET MANAGEMENT 0 0.0%
10‑26 13D PEYE / Precision Optics Corp, Inc. PESSIN NORMAN H 763,334 1.0%
10‑25 13D NINE / Ninetowns Internet Technology Group Co Ltd Frazier Warren Lynn 4,738,514 15.8%
10‑25 13D FVCB / FVCBankcorp, Inc. Bender Morton A 749,760 5.85%
10‑25 13D ALLO / Allogene Therapeutics, Inc. TPG Group Holdings (SBS) Advisors, Inc. 23,135,061 19.6%
10‑25 13D MRKR / Marker Therapeutics, Inc. New Enterprise Associates 16, L.p. 8,750,000 17.8%
10‑25 13D PVNNF / PV Nano Cell Ltd. Gtrimg Investments Ltd. 76,776,710 76.89%
10‑24 13D VXBT / Vortex Blockchain Technologies Inc. Bergman Craig 61,100,000 80.93%
10‑24 13D GMO / General Moly, Inc. Hansen Bruce D 9,458,630 6.7%
10‑23 13D ESMC / Escalon Medical Corp. Depiano Richard J 37.67%
10‑23 13D TLR / Timberline Resources Corporation Matlack William Fuller 8,308,200 13.94%
10‑23 13D REN / Resolute Energy Corporation Lion Point Capital, LP 2,218,708 9.6% 123.26
10‑22 13D PRTS / U.S. Auto Parts Network, Inc. Philotimo Fund, LP 2,093,937 6.0%
10‑22 13D ESMC / Escalon Medical Corp. Escalon Medical Corp 37.67%
10‑22 13D PCRX / Pacira Pharmaceuticals, Inc. Consonance Capital Management LP 3,652,134 8.9%
10‑22 13D ALLO / Allogene Therapeutics, Inc. PFIZER INC 22,032,040 18.7%
10‑22 13D ARAV / Aravive, Inc. Liu Qianye 859,766 7.7%
10‑22 13D KRBF / Kreido Biofuels, Inc. Dou Chun Ju 55,485,542 28.36%
10‑22 13D SBNB / Scorpio Tankers Inc. Scorpio Bulkers Inc. 54,054,054 10.9%
10‑22 13D HK / Halcon Resources Corporation FIR TREE INC. 8,390,167 5.22%
10‑22 13D CORI / Corium International, Inc. Gurnet Holding Co 9,353,304 25.6%

Amended Filings

This table lists amended filings in the last week, and is useful for monitoring changes in existing investments or when a fund closes a position. I have eliminated all filings with less than a 5% change in ownership.

Date Form Company Investor Shares Ownership Change
10‑29 13D/A RISE / Sit Rising Rate ETF SIT INVESTMENT ASSOCIATES INC 2,133,700 76.2% -8.04
10‑29 13D/A IVTY / Invuity, Inc. GARDNER LEWIS ASSET MANAGEMENT L P 0 0.0% -100.00
10‑26 13D/A SHAK / Shake Shack, Inc. Select Equity Group, L.P. 152,401 0.41% -72.67
10‑26 13D/A PF / Pinnacle Foods, Inc. JANA PARTNERS LLC 0 %
10‑26 13D/A USEL / usell.com, Inc. Schreyer Leslie J 6,957,837 24.2% -14.49
10‑26 13D/A FRED / Fred's, Inc. Alden Global Capital LLC 12,386,617 33.2% 6.41
10‑26 13D/A IPCI / Intellipharmaceutics International Inc. ODIDI HOLDINGS INC. 1,164,885 12.7% -43.68
10‑26 13D/A FLKS / Flex Pharma, Inc. Longwood Fund II, L.P. 3,941,118 21.8% -43.81
10‑26 13D/A DHCP / Ditech Holding Corporation First Pacific Advisors, LLC 2,362,132 33.4%
10‑26 13D/A INAP / Internap Corporation GAMCO INVESTORS, INC. ET AL 2,697,999 10.61% 9.04
10‑26 13D/A UGA / United States Gasoline Fund LP Counsel Portfolio Services Inc. 77,290 5.9453% -24.88
10‑26 13D/A PRTS / U.S. Auto Parts Network, Inc. Philotimo Fund, LP 2,613,427 7.5% 25.00
10‑26 13D/A JACK / Jack in the Box, Inc. JANA PARTNERS LLC 1,831,007 %
10‑25 13D/A BH / Biglari Holdings Inc. GAMCO INVESTORS, INC. ET AL 11,091 5.36% 48.07
10‑25 13D/A SELB / Selecta Biosciences, Inc. ORBIMED ADVISORS LLC 1,579,064 7.05% -14.86
10‑25 13D/A NHF / NexPoint Credit Strategies Fund HIGHLAND CAPITAL MANAGEMENT LP 5,407,155 16.8% 9.80
10‑25 13D/A PLG / Platinum Group Metals Ltd. Liberty Metals & Mining Holdings, LLC 56,160,609 18.06%
10‑24 13D/A PERY / Ellis Perry International, Inc. FELDENKREIS GEORGE 2,988,144 100.0% 825.93
10‑24 13D/A ASTE / Astec Industries, Inc. GAMCO INVESTORS, INC. ET AL 1,281,655 5.55% 16.84
10‑24 13D/A ZIVO / Zivo Bioscience, Inc. Strome Mezzanine Fund, Lp 87,790,590 36.7% 63.84
10‑24 13D/A MRVL / Marvell Technology Group Ltd. Starboard Value LP 38,563,990 5.9% 13.46
10‑24 13D/A HBM / HudBay Minerals Inc. Waterton Mining Parallel Fund Offshore Master, Lp 19,234,470 7.4% 5.71
10‑24 13D/A EIGR / Eiger BioPharmaceuticals, Inc. INTERWEST PARTNERS X LP 1,360,027 9.5% -58.70
10‑24 13D/A AZRE / Azure Power Global Limited Ifc Gif Investment Co I 8,389,452 20.6%
10‑24 13D/A AZRE / Azure Power Global Limited International Finance Corp 11,673,087 28.6% -5.92
10‑23 13D/A TST / TheStreet, Inc. Tcv Vi L P 4,397,377 8.9% -29.37
10‑23 13D/A ICTV / ICTV Brands Inc. PESSIN NORMAN H 5,171,980 9.7% -11.01
10‑23 13D/A LEN.B / Lennar Corp. GAMCO INVESTORS, INC. ET AL 1,601,441 4.24% -6.19
10‑23 13D/A TXSO / Texas South Energy, Inc. MAYELL MICHAEL J 173,616,675 16.3% -5.23
10‑23 13D/A PENC / PEN Inc. Berman Ronald J 389,411 7.0% -50.00
10‑22 13D/A PHII / PHI, Inc. Alesia Value Fund LLC 519,727 4.0% 37.93
10‑22 13D/A VLT / Invesco Van Kampen High Income Trust II Saba Capital Management, L.P. 760,168 9.36% 14.01
10‑22 13D/A DBD / Diebold, Inc. ATLANTIC INVESTMENT MANAGEMENT INC 5,220,417 6.9% -24.18
10‑22 13D/A METC / Ramaco Resources, Inc. Yorktown Energy Partners IX, L.P. 12,971,525 32.4% -14.29
10‑22 13D/A AOD / Alpine Total Dynamic Dividend Fund Saba Capital Management, L.P. 6,048,035 5.62% -17.23
10‑22 13D/A SMIT / Schmitt Industries, Inc. Sententia Capital Management, Llc 350,779 8.8% 17.33
10‑22 13D/A INAP / Internap Corporation GAMCO INVESTORS, INC. ET AL 2,474,526 9.73% -13.89
10‑22 13D/A TG / Tredegar Corp. GAMCO INVESTORS, INC. ET AL 4,022,882 12.12% -5.90
10‑22 13D/A SBNB / Scorpio Tankers Inc. Lolli-ghetti Annalisa 23,377,206 4.71% -14.36
10‑22 13D/A OHGI / One Horizon Group, Inc. Wu Zhanming 154,840,391 24.3% -42.96
10‑22 13D/A PZZA / Papa John's International, Inc. Schnatter John H 9,914,849 30.9% 17.45

Source: Fintel.io/activists



Submitted October 29, 2018 at 01:25PM by badpauly https://ift.tt/2CKp4Gp
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