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 |
| 11‑26 |
13D |
BRPA / Big Rock Partners Acquisition Corp. |
Brac Lending Group Llc |
1,638,000 |
18.1% |
|
| 11‑26 |
13D |
SYNC / Synacor, Inc. |
HARRIS & HARRIS GROUP INC /NY/ |
2,741,400 |
% |
|
| 11‑24 |
13D |
GSL / Global Ship Lease, Inc. |
Kelso Gp Viii (cayman), L.p. |
1,246,007 |
1.7% |
|
| 11‑23 |
13D |
ATXI / Avenue Therapeutics Inc. |
Invagen Pharmaceuticals, Inc. |
4,227,179 |
38.55% |
|
| 11‑23 |
13D |
NCS / NCI Building Systems, Inc. |
Atrium Intermediate Holdings, Llc |
16,739,403 |
13.4% |
|
| 11‑23 |
13D |
BLDP / Ballard Power Systems, Inc. |
Weichai Power Co., Ltd. |
46,131,712 |
19.9% |
|
| 11‑23 |
13D |
ETON / Eton Pharmaceutcials, Inc. |
Imprimis Pharmaceuticals, Inc. |
3,500,000 |
20.7% |
|
| 11‑21 |
13D |
NTN / NTN Communications, Inc. |
North Star Investment Management Corp. |
296,000 |
10.33% |
-13.19 |
| 11‑20 |
13D |
NCS / NCI Building Systems, Inc. |
Cd&r Pisces Holdings, L.p. |
39,128,929 |
31.34% |
|
| 11‑20 |
13D |
MNI / McClatchy Co. (THE) |
Bluestone Financial LTD |
336,142 |
6.308% |
22.25 |
| 11‑20 |
13D |
ELSE / Electro-Sensors, Inc. |
Estate Of Nancy P. Peterson |
1,004,464 |
29.6% |
|
| 11‑20 |
13D |
GR / Goodrich Corp |
Cf Partners Capital Management Llp |
6,703,405 |
7.6% |
|
| 11‑20 |
13D |
PDFS / PDF Solutions, Inc. |
VIEX Capital Advisors, LLC |
1,928,996 |
6.0% |
|
| 11‑19 |
13D |
EGN / Energen Corp. |
ICAHN CARL C |
9,666,382 |
9.9% |
|
| 11‑19 |
13D |
GNC / GNC Holdings, Inc. |
Harbin Pharmaceutical Group Co., Ltd. |
56,065,420 |
40.1% |
|
| 11‑19 |
13D |
NXNN / Nexeon Medsystems Inc |
Rosellini William |
704,067 |
35.22% |
-9.06 |
| 11‑19 |
13D |
USWS / U.S. Well Services, Inc. Class A |
Crestview Partners Iii Gp, L.p. |
|
34.98% |
|
| 11‑19 |
13D |
ROAN / Roan Resources, Inc. |
York Capital Management Global Advisors, LLC |
9,144,292 |
6.0% |
|
| 11‑19 |
13D |
VRNG / Vringo, Inc. |
Calm.com, Inc. |
3,225,806 |
9.34% |
|
| 11‑19 |
13D |
ZYJT / Zhong Ya International Limited |
He Guangyong |
732,650 |
40.6% |
|
| 11‑19 |
13D |
ZYJT / Zhong Ya International Limited |
Lin Wuhua |
285,912 |
15.8% |
|
| 11‑19 |
13D |
ZYJT / Zhong Ya International Limited |
Liu Wenjian |
1,786,950 |
99.0% |
|
| 11‑19 |
13D |
NCSM / NCS Multistage Holdings, Inc. |
Nipper Robert |
2,268,454 |
5.0% |
|
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 |
| 11‑26 |
13D/A |
IRCP / IRSA Propiedades Comerciales S.A. |
ELSZTAIN EDUARDO S |
106,452,368 |
84.48% |
|
| 11‑26 |
13D/A |
SILC / Silicom Limited |
ZISAPEL ZOHAR |
802,782 |
10.63% |
-13.22 |
| 11‑23 |
13D/A |
SFL / Ship Finance International Limited |
HEMEN HOLDING LTD |
26,992,070 |
24.24% |
-7.13 |
| 11‑23 |
13D/A |
SWZ / Swiss Helvetia Fund, Inc. |
Bulldog Investors, LLC |
168,673 |
% |
|
| 11‑23 |
13D/A |
PRMW / Primo Water Corp. |
Legion Partners Asset Management, LLC |
2,635,571 |
6.84% |
17.93 |
| 11‑23 |
13D/A |
UVE / Universal Insurance Holdings, Inc. |
DOWNES SEAN P |
2,291,776 |
6.6% |
29.41 |
| 11‑23 |
13D/A |
BBLS / Petrolia Energy Corp. |
Bsih Ltd |
0 |
% |
|
| 11‑21 |
13D/A |
INFI / Infinity Pharmaceuticals, Inc. |
Biotechnology Value Fund L P |
17,151,968 |
30.2% |
11.03 |
| 11‑21 |
13D/A |
PAH / Platform Specialty Products Corp. |
FRANKLIN MARTIN E |
30,749,786 |
5.6% |
12.00 |
| 11‑21 |
13D/A |
UFI / Unifi, Inc. |
VA Partners I, LLC |
1,127,679 |
6.1% |
22.00 |
| 11‑21 |
13D/A |
GSL / Global Ship Lease, Inc. |
GROSS MICHAEL S |
10,752,754 |
14.3% |
-7.14 |
| 11‑21 |
13D/A |
GSL / Global Ship Lease, Inc. |
Cma Cgm S.a. |
24,412,700 |
34.07% |
-20.79 |
| 11‑21 |
13D/A |
LAUR / LAUREATE EDUCATION, INC. |
Cohen Private Ventures, Llc |
112,114,949 |
51.5% |
|
| 11‑21 |
13D/A |
EARS / Auris Medical Holding AG |
Meyer Thomas |
9,165,947 |
27.1% |
11.07 |
| 11‑21 |
13D/A |
LAUR / LAUREATE EDUCATION, INC. |
Wengen Alberta, LP |
112,102,116 |
51.4% |
-11.23 |
| 11‑21 |
13D/A |
GSHT / Gores Holdings II, Inc. |
Gores Sponsor Ii Llc |
8,769,564 |
5.5% |
-5.17 |
| 11‑21 |
13D/A |
BRPA / Big Rock Partners Acquisition Corp. |
Big Rock Partners Sponsor, Llc |
497,500 |
5.51% |
|
| 11‑21 |
13D/A |
SANW / S&W Seed Co. |
MFP Investors LLC |
15,945,017 |
48.0% |
42.86 |
| 11‑21 |
13D/A |
BBDC / Barings BDC, Inc. |
BABSON CAPITAL MANAGEMENT LLC |
10,738,272 |
20.9% |
5.56 |
| 11‑21 |
13D/A |
HWBK / Hawthorn Bancshares, Inc. |
Ategra Community Financial Institution Fund, LP |
300,000 |
4.97% |
-23.54 |
| 11‑21 |
13D/A |
AMRH / Ameri Holdings, Inc. |
Sikaria Family 2008 Revocable Trust Dated 02/28/2008 |
3,900,000 |
9.85% |
-43.68 |
| 11‑21 |
13D/A |
VLRX / Valeritas, Inc. |
Capital Royalty L.p. |
52,685,969 |
39.8% |
-50.06 |
| 11‑21 |
13D/A |
CBB / Cincinnati Bell, Inc. |
ARES MANAGEMENT LLC |
3,982,335 |
7.9% |
14.49 |
| 11‑20 |
13D/A |
GSV / Gold Standard Ventures Corp. |
Fcmi Parent Co. |
30,493,966 |
11.7% |
|
| 11‑20 |
13D/A |
LAUR / LAUREATE EDUCATION, INC. |
KKR 2006 Fund (Overseas), Limited Partnership |
121,101,724 |
55.6% |
-10.47 |
| 11‑20 |
13D/A |
BLKE / Bear Lake Recreation, Inc. |
MANCHESTER MANAGEMENT CO LLC |
6,128,103 |
33.94% |
|
| 11‑20 |
13D/A |
DHXM / DHX Media Ltd. |
Fine Capital Partners, L.P. |
34,506,250 |
25.7% |
7.53 |
| 11‑20 |
13D/A |
NCS / NCI Building Systems, Inc. |
CD&R Associates VIII, Ltd. |
22,801,763 |
18.26% |
-46.98 |
| 11‑20 |
13D/A |
AXE / Anixter International, Inc. |
CHAI TRUST CO LLC |
1,528,299 |
4.56% |
|
| 11‑20 |
13D/A |
GLPW / Global Power Equipment Group, Inc. |
WYNNEFIELD PARTNERS SMALL CAP VALUE LP |
3,538,718 |
19.1% |
5.52 |
| 11‑20 |
13D/A |
OPK / Opko Health, Inc. |
FROST PHILLIP MD ET AL |
220,841,463 |
37.3% |
|
| 11‑20 |
13D/A |
LAUR / LAUREATE EDUCATION, INC. |
StepStone Group LP |
112,102,116 |
51.4% |
-11.38 |
| 11‑20 |
13D/A |
NXRT / NexPoint Residential Trust, Inc. |
HIGHLAND CAPITAL MANAGEMENT LP |
4,616,941 |
19.65% |
-6.70 |
| 11‑20 |
13D/A |
KNOP / KNOT Offshore Partners LP |
Knutsen NYK Offshore Tankers AS |
8,657,868 |
26.5% |
-9.25 |
| 11‑20 |
13D/A |
ARCT / Arcturus Therapeutics Ltd. |
Payne Joseph E |
1,469,097 |
13.7% |
|
| 11‑20 |
13D/A |
LCA / Landcadia Holdings, Inc. |
LEUCADIA NATIONAL CORP |
4,852,842 |
8.8% |
-26.67 |
| 11‑19 |
13D/A |
NOVT / Novanta Inc. |
BERSHAD STEPHEN W |
1,310,510 |
3.8% |
-27.34 |
| 11‑19 |
13D/A |
GLF / GulfMark Offshore, Inc. |
Captain Q, Llc |
0 |
0.0% |
-100.00 |
| 11‑19 |
13D/A |
GDV / Gabelli Dividend & Income Trust (The) |
BANK OF AMERICA CORP /DE/ |
6,283 |
52.17% |
|
| 11‑19 |
13D/A |
BHGE / Baker Hughes, a GE company |
GENERAL ELECTRIC CO |
521,543,095 |
50.4% |
-19.36 |
| 11‑19 |
13D/A |
BCSF / Bain Capital Specialty Finance, Inc. |
BAIN CAPITAL CREDIT MEMBER, LLC |
19,306,284 |
37.5% |
|
| 11‑19 |
13D/A |
OMAM / OM Asset Management Plc |
HNA Group Co., Ltd. |
22,776,663 |
21.4% |
105.77 |
| 11‑19 |
13D/A |
GLF / GulfMark Offshore, Inc. |
Raging Capital Management, LLC |
0 |
0.0% |
-100.00 |
| 11‑19 |
13D/A |
EGN / Energen Corp. |
Corvex Management LP |
6,756,218 |
6.9% |
-30.30 |
| 11‑19 |
13D/A |
HHS / Harte-Hanks, Inc. |
Fondren Management LP |
504,200 |
8.1% |
-15.62 |
| 11‑19 |
13D/A |
GOGO / Gogo Inc. |
Senator Investment Group LP |
0 |
0.0% |
-100.00 |
| 11‑19 |
13D/A |
PRSS / CafePress Inc. |
Subin Neil S |
0 |
0.0% |
-100.00 |
| 11‑19 |
13D/A |
MPEL / Melco Crown Entertainment Ltd. |
Melco International Development LTD |
768,922,052 |
54.6% |
5.20 |
| 11‑19 |
13D/A |
CBPO / China Biologic Products, Inc. |
Centurium Capital Partners 2018, L.p. |
3,600,262 |
9.1% |
15.19 |
Source: Fintel.io/activists
Submitted November 26, 2018 at 01:30PM by badpauly https://ift.tt/2Sgv2TZ
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