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 |
| 09‑28 |
13D |
FTXP / Foothills Exploration, Inc |
Total Belief Ltd |
2,083,334 |
13.8% |
|
| 09‑28 |
13D |
MDM / Mountain Province Diamonds Inc. |
Vertigol Unlimited Co |
22,343,720 |
13.9% |
|
| 09‑28 |
13D |
OIBR.C / Oi S.A. |
BROOKFIELD ASSET MANAGEMENT INC. |
123,396,285 |
5.7% |
|
| 09‑28 |
13D |
STKS / ONE Group Hospitality, Inc. |
Maguire Asset Management, LLC |
1,446,897 |
5.2% |
|
| 09‑28 |
13D |
CSU / Capital Senior Living Corp. |
Cove Street Capital, LLC |
2,664,187 |
8.5% |
|
| 09‑27 |
13D |
NESR / National Energy Services Reunited Corp. |
Mubbadrah Investment Llc |
17,863,636 |
20.9% |
|
| 09‑27 |
13D |
APRI / Apricus Biosciences, Inc. |
ARMISTICE CAPITAL, LLC |
4,600,000 |
16.3% |
191.59 |
| 09‑27 |
13D |
IFF / International Flavors & Fragrances, Inc |
Winder Investment Pte Ltd |
18,799,353 |
20.3% |
33.55 |
| 09‑26 |
13D |
SNMX / Senomyx, Inc. |
Firmenich Inc |
9,137,581 |
16.4% |
|
| 09‑26 |
13D |
AKBA / Akebia Therapeutics, Inc. |
Nantahala Capital Management, LLC |
5,575,211 |
9.8% |
139.02 |
| 09‑26 |
13D |
NXNN / Nexeon Medsystems Inc |
Rosellini William |
774,067 |
38.73% |
-32.06 |
| 09‑25 |
13D |
PRNB / Principia Biopharma Inc. |
GLAXOSMITHKLINE PLC |
2,654,336 |
11.7% |
|
| 09‑25 |
13D |
NRE / NorthStar Realty Europe Corp. |
Senvest Management, LLC |
4,757,009 |
9.55% |
11.18 |
| 09‑24 |
13D |
RSRT / RealSource Residential, Inc. |
M1 Advisors Llc |
9,760,670 |
60.14% |
|
| 09‑24 |
13D |
RSRT / RealSource Residential, Inc. |
Cooper Piers |
4,674,330 |
28.8% |
|
| 09‑24 |
13D |
LYL / Dragon Victory International Limited |
Cyn Cherish Capital Ltd |
2,312,164 |
20.24% |
|
| 09‑24 |
13D |
FVCB / FVCBankcorp, Inc. |
Pijor David W |
696,045 |
5.29% |
|
| 09‑24 |
13D |
XRM / Xerium Technologies, Inc. |
GAMCO INVESTORS, INC. ET AL |
604,755 |
3.68% |
|
| 09‑24 |
13D |
EFR / Eaton Vance Senior Floating-Rate Fund |
BANK OF AMERICA CORP /DE/ |
614 |
20.25% |
|
| 09‑24 |
13D |
IVTY / Invuity, Inc. |
GARDNER LEWIS ASSET MANAGEMENT L P |
2,228,716 |
9.3% |
|
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 |
| 10‑01 |
13D/A |
RISE / Sit Rising Rate ETF |
SIT INVESTMENT ASSOCIATES INC |
1,700,200 |
68.69% |
-13.63 |
| 09‑29 |
13D/A |
BRK.B / Berkshire Hathaway, Inc. |
Gates William H Iii |
68,603,974 |
4.999% |
-7.43 |
| 09‑28 |
13D/A |
LPI / Laredo Petroleum, Inc. |
Warburg Pincus Private Equity IX, L.P. |
51,240,020 |
21.8% |
-19.26 |
| 09‑28 |
13D/A |
CVNA / Carvana Co. |
Ddfs Partnership Lp |
1,759,510 |
4.5% |
-26.23 |
| 09‑28 |
13D/A |
JEQ / Aberdeen Japan Equity Fund, Inc. |
Bulldog Investors, LLC |
691,025 |
% |
|
| 09‑28 |
13D/A |
MDM / Mountain Province Diamonds Inc. |
Vertigol Unlimited Co |
58,778,659 |
28.0% |
|
| 09‑28 |
13D/A |
HEAR / Turtle Beach Corporation |
SG VTB Holdings, LLC |
3,470,766 |
24.0% |
-13.04 |
| 09‑28 |
13D/A |
SALM / Salem Media Group, Inc. |
GAMCO INVESTORS, INC. ET AL |
865,800 |
4.2% |
-13.58 |
| 09‑28 |
13D/A |
RGRX / RegeneRx Biopharmaceuticals, Inc. |
Essetifin Spa |
34,989,080 |
28.7% |
-6.21 |
| 09‑28 |
13D/A |
GSB / GlobalSCAPE, Inc. |
210/GSB Acquisition Partners, LLC |
4,000,407 |
22.3% |
21.20 |
| 09‑28 |
13D/A |
CNNX / CONE Midstream Partners LP |
NOBLE ENERGY INC |
0 |
0.0% |
-100.00 |
| 09‑27 |
13D/A |
FATE / Fate Therapeutics, Inc. |
Redmile Group, LLC |
10,359,666 |
16.2% |
28.57 |
| 09‑27 |
13D/A |
PIRS / Pieris Pharmaceuticals, Inc. |
ORBIMED ADVISORS LLC |
2,455,900 |
4.55% |
-21.82 |
| 09‑27 |
13D/A |
SUMR / Summer Infant, Inc. |
Privet Fund LP |
806,268 |
4.3% |
-24.56 |
| 09‑27 |
13D/A |
HGR / Hanger, Inc. |
KKR Fund Holdings L.P. |
1,085,897 |
3.0% |
-56.52 |
| 09‑27 |
13D/A |
CERC / Cerecor Inc. |
ARMISTICE CAPITAL, LLC |
31,786,114 |
57.8% |
-10.66 |
| 09‑26 |
13D/A |
NEPT / Neptune Technologies & Bioressources Inc. |
Schottenfeld Richard |
3,480,740 |
4.4% |
-18.52 |
| 09‑26 |
13D/A |
FSFR / Fifth Street Senior Floating Rate Corp. |
TANNENBAUM LEONARD M |
7,716,159 |
26.2% |
|
| 09‑26 |
13D/A |
COHN / Cohen & Company Inc |
COHEN DANIEL G |
842,468 |
43.87% |
|
| 09‑26 |
13D/A |
VRTV / Veritiv Corporation |
UWW Holdings, LLC |
2,783,840 |
17.6% |
-35.53 |
| 09‑26 |
13D/A |
MTEM / Molecular Templates, Inc. |
Longitude Capital Partners Iii, Llc |
47,223,022 |
12.4% |
|
| 09‑26 |
13D/A |
AFMD / Affimed N.V. |
SGR Sagittarius Holding AG |
6,746,482 |
10.8% |
-9.24 |
| 09‑26 |
13D/A |
SILC / Silicom Limited |
ZISAPEL ZOHAR |
1,209,294 |
16.02% |
-11.88 |
| 09‑25 |
13D/A |
ZIVO / Zivo Bioscience, Inc. |
Maggiore Christopher D. |
46,074,950 |
25.2% |
11.01 |
| 09‑25 |
13D/A |
SKY / Skyline Corp. |
Centerbridge Capital Partners L P |
6,600,571 |
11.7% |
-37.10 |
| 09‑25 |
13D/A |
SKY / Skyline Corp. |
MAK CAPITAL ONE LLC |
6,689,759 |
11.8% |
-36.22 |
| 09‑25 |
13D/A |
SKY / Skyline Corp. |
BAIN CAPITAL CREDIT MEMBER, LLC |
6,799,631 |
12.0% |
-36.17 |
| 09‑25 |
13D/A |
KRP / Kimbell Royalty Partners, LP |
Kkr Upstream Associates Llc |
4,913,559 |
26.1% |
42.62 |
| 09‑25 |
13D/A |
VALE / Vale S.A. |
Bndes Participacoes S.a. |
2,122,735,288 |
41.1% |
|
| 09‑25 |
13D/A |
MDGS / Medigus Ltd. |
L.i.a. Pure Capital Ltd |
6,757,920 |
10.4% |
18.18 |
| 09‑25 |
13D/A |
AFI / Armstrong Flooring, Inc. |
GAMCO INVESTORS, INC. ET AL |
1,282,874 |
4.98% |
-11.39 |
| 09‑25 |
13D/A |
CMT / Core Molding Technologies, Inc. |
GAMCO INVESTORS, INC. ET AL |
423,700 |
5.3% |
13.01 |
| 09‑25 |
13D/A |
SODI / Solitron Devices, Inc. |
Olesen Value Fund L.P. |
182,449 |
9.6% |
15.66 |
| 09‑24 |
13D/A |
CVNA / Carvana Co. |
Ddfs Partnership Lp |
2,410,927 |
6.1% |
-17.57 |
| 09‑24 |
13D/A |
LYL / Dragon Victory International Limited |
Honesty Heart Ltd. |
2,487,836 |
21.8% |
|
| 09‑24 |
13D/A |
PGLC / Pershing Gold Corporation |
Honig Barry C |
14,280,390 |
38.08% |
-10.32 |
| 09‑24 |
13D/A |
USMN / U.S. Rare Earth Minerals, Inc. |
Afcc, Llc |
2,350,000 |
2.76% |
-95.88 |
| 09‑24 |
13D/A |
APRN / Blue Apron Holdings Inc |
Salzberg Barry |
27,992,225 |
31.0% |
16.54 |
| 09‑24 |
13D/A |
CBPO / China Biologic Products, Inc. |
Pw Medtech Group Ltd |
6,321,000 |
16.08% |
8.65 |
Source: Fintel.io/activists
Submitted October 01, 2018 at 10:41AM by badpauly https://ift.tt/2Nf9PGZ
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