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 |
| 09‑14 |
13D |
OVAS / Ovascience Inc. |
BML Investment Partners, L.P. |
3,567,000 |
9.96% |
55.63 |
| 09‑14 |
13D |
BTAI / BioXcel Therapeutics, Inc. |
Dnca Finance |
800 |
5.0% |
|
| 09‑14 |
13D |
LN / LINE Corporation |
Naver Corp |
184,756,543 |
71.1% |
-3.10 |
| 09‑14 |
13D |
CBPO / China Biologic Products, Inc. |
Centurium Capital Partners 2018, L.p. |
3,050,000 |
7.9% |
|
| 09‑13 |
13D |
PRKA / Parks! America, Inc. |
Marlton Wayne, Lp |
3,768,179 |
5.04% |
|
| 09‑12 |
13D |
PZC / PIMCO California Municipal Income Fund III |
WELLS FARGO & COMPANY/MN |
970 |
19.4% |
|
| 09‑12 |
13D |
PNI / PIMCO New York Municipal Income Fund II |
WELLS FARGO & COMPANY/MN |
381 |
12.06% |
|
| 09‑12 |
13D |
PMF / PIMCO Municipal Income Fund |
WELLS FARGO & COMPANY/MN |
646 |
8.5% |
|
| 09‑12 |
13D |
PCQ / PIMCO California Municipal Income Fund |
WELLS FARGO & COMPANY/MN |
1,078 |
17.97% |
|
| 09‑12 |
13D |
PCK / PIMCO California Municipal Income Fund II |
WELLS FARGO & COMPANY/MN |
1,276 |
19.57% |
|
| 09‑12 |
13D |
PMX / PIMCO Municipal Income Fund III |
WELLS FARGO & COMPANY/MN |
1,081 |
14.3% |
|
| 09‑12 |
13D |
PML / PIMCO Municipal Income Fund II |
WELLS FARGO & COMPANY/MN |
2,123 |
14.46% |
|
| 09‑12 |
13D |
REPCD / RepliCel Life Sciences Inc. |
Schutte Andrew |
1,295,415 |
6.04% |
|
| 09‑11 |
13D |
VAC / Marriott Vacations Worldwide Corp |
Liberty Interactive Corp |
2,746,252 |
5.8% |
|
| 09‑10 |
13D |
NDRO / Enduro Realty Trust |
Permianville Holdings Llc |
8,600,000 |
26.1% |
|
| 09‑10 |
13D |
REIS / Reis, Inc. |
Moodys Corp /de/ |
2,310,769 |
19.6% |
|
| 09‑10 |
13D |
LIFE / aTyr Pharma, Inc. |
Schimmel Paul |
1,600,962 |
5.3% |
|
| 09‑10 |
13D |
NYLD / NRG Yield, Inc. |
Global Infrastructure Investors Iii, Llc |
42,738,750 |
55.3% |
|
| 09‑10 |
13D |
ALLK / Allakos Inc. |
Rivervest Venture Fund Iii, L.p. |
7,374,385 |
17.8% |
|
| 09‑10 |
13D |
OSS / One Stop Systems, Inc. |
Reardon James M |
1,330,496 |
9.5% |
|
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 |
| 09‑14 |
13D/A |
SAEXW / SAExploration Holdings, Inc. |
BlueMountain Capital Management, LLC |
2,440,797 |
13.3% |
-17.90 |
| 09‑14 |
13D/A |
VIVMF / Viveve Medical, Inc. |
Stonepine Capital Management, LLC |
3,905,101 |
12.4% |
-6.06 |
| 09‑14 |
13D/A |
AIZ / Assurant, Inc. |
Tpg Advisors Vi-aiv, Inc. |
8,869,230 |
14.2% |
-11.03 |
| 09‑14 |
13D/A |
TISI / Team, Inc. |
GAMCO INVESTORS, INC. ET AL |
1,595,517 |
5.28% |
-12.15 |
| 09‑14 |
13D/A |
TBIO / Transgenomic, Inc. |
KIRK RANDAL J |
1,140,019 |
4.8% |
-69.23 |
| 09‑14 |
13D/A |
GBCS / Global Healthcare REIT, Inc. |
Baller Lance |
1,523,745 |
5.63% |
25.39 |
| 09‑14 |
13D/A |
SAUC / Diversified Restaurant Holdings, Inc. |
Diversified Restaurant Holdings, Inc. |
10,353,557 |
% |
|
| 09‑14 |
13D/A |
MHLD / Maiden Holdings Ltd. |
Catalina Holdings (bermuda) Ltd |
6,643,981 |
7.99% |
59.48 |
| 09‑14 |
13D/A |
CVNA / Carvana Co. |
Ddfs Partnership Lp |
3,927,136 |
10.3% |
|
| 09‑14 |
13D/A |
ALRM / Alarm.com Holdings, Inc. |
TCV VII LP |
8,544,002 |
17.9% |
-25.73 |
| 09‑14 |
13D/A |
MIC / Macquarie Infrastructure Company LLC |
Macquarie Infrastructure Management (USA) INC |
12,005,017 |
14.04% |
9.09 |
| 09‑13 |
13D/A |
OI / Owens-Illinois, Inc. |
ATLANTIC INVESTMENT MANAGEMENT INC |
9,442,027 |
5.9% |
15.69 |
| 09‑13 |
13D/A |
SYY / SYSCO Corp. |
TRIAN FUND MANAGEMENT, L.P. |
37,656,181 |
7.24% |
-11.38 |
| 09‑13 |
13D/A |
H / Hyatt Hotels Corp. |
UDQ Private Trust Company, LLC |
18,837,636 |
16.9% |
13.42 |
| 09‑13 |
13D/A |
H / Hyatt Hotels Corp. |
Maroon Private Trust Company, LLC |
22,469,804 |
20.2% |
11.60 |
| 09‑13 |
13D/A |
JMBA / Jamba, Inc. |
Engaged Capital LLC |
0 |
0.0% |
-100.00 |
| 09‑13 |
13D/A |
JBSS / Sanfilippo (JOHN B) & Son, Inc. |
Sanfilippo Family 2017 Generation Skipping Trust |
1,455,191 |
14.3% |
|
| 09‑13 |
13D/A |
TOPS / TOP Ships, Inc. |
SOVEREIGN HOLDINGS INC. |
21,891,807 |
52.9% |
17.82 |
| 09‑13 |
13D/A |
JCS / Communications Systems, Inc. |
GAMCO INVESTORS, INC. ET AL |
638,161 |
6.97% |
-11.77 |
| 09‑13 |
13D/A |
HRTX / Heron Therapeutics, Inc. |
TANG CAPITAL PARTNERS LP |
7,967,078 |
9.99% |
-41.24 |
| 09‑12 |
13D/A |
LPI / Laredo Petroleum, Inc. |
Warburg Pincus Private Equity IX, L.P. |
63,540,020 |
27.0% |
-15.89 |
| 09‑12 |
13D/A |
AYX / Alteryx Inc. |
Insight Venture Partners VIII, L.P. |
8,053,868 |
18.8% |
-10.90 |
| 09‑12 |
13D/A |
ICCH / ICC Holdings, Inc. |
Clinton Richard Kevin |
376,000 |
10.7% |
|
| 09‑12 |
13D/A |
SAEXW / SAExploration Holdings, Inc. |
WHITEBOX ADVISORS LLC |
39,286,677 |
54.83% |
52.14 |
| 09‑12 |
13D/A |
RAS / RAIT Financial Trust |
Frischer Charles |
192,033 |
10.4% |
30.00 |
| 09‑11 |
13D/A |
SHAK / Shake Shack, Inc. |
Green Equity Investors VI, L.P. |
3,325,117 |
8.98% |
-12.73 |
| 09‑11 |
13D/A |
DXLG / Destination XL Group, Inc. |
Krevlin Glenn J |
4,104,751 |
8.35% |
|
| 09‑11 |
13D/A |
LWAY / Lifeway Foods, Inc. |
GAMCO INVESTORS, INC. ET AL |
236,295 |
1.49% |
|
| 09‑11 |
13D/A |
ARCI / Appliance Recycling Centers of America, Inc. |
Isaac Capital Group, LLC |
1,251,993 |
% |
|
| 09‑10 |
13D/A |
AYX / Alteryx Inc. |
Insight Venture Partners VIII, L.P. |
9,050,586 |
21.1% |
-18.22 |
| 09‑10 |
13D/A |
JEQ / Aberdeen Japan Equity Fund, Inc. |
Bulldog Investors, LLC |
888,790 |
% |
|
| 09‑10 |
13D/A |
LPTX / LEAP THERAPEUTICS, INC. |
Healthcare Ventures Ix, L.p. |
6,755,967 |
45.3% |
-20.53 |
| 09‑10 |
13D/A |
HCHC / HC2 Holdings, Inc. |
FALCONE PHILIP |
7,275,198 |
14.34% |
-6.70 |
| 09‑10 |
13D/A |
BDGE / Bridge Bancorp, Inc. |
BASSWOOD CAPITAL MANAGEMENT, L.L.C. |
2,053,216 |
10.38% |
12.34 |
| 09‑10 |
13D/A |
LCA / Landcadia Holdings, Inc. |
ADVENT INTERNATIONAL CORP/MA |
2,000,000 |
8.6% |
7.50 |
Source: Fintel.io/activists
Submitted September 16, 2018 at 05:08PM by badpauly https://ift.tt/2NMuUwU
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