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 |
| 01‑04 |
13D |
FSAC / Federal Street Acquisition Corp. |
Fs Sponsor Llc |
0 |
0.0% |
-100.00 |
| 01‑04 |
13D |
BHE / Benchmark Electronics, Inc. |
Engaged Capital LLC |
2,236,787 |
5.1% |
|
| 01‑04 |
13D |
AXNX / Axonics Modulation Technologies, Inc. |
Cooperatieve Gilde Healthcare Iv U.a. |
3,133,332 |
11.3% |
|
| 01‑03 |
13D |
USWS / U.S. Well Services, Inc. Class A |
Matlin David J |
4,715,155 |
8.9% |
|
| 01‑02 |
13D |
BUES / Blue Spa, Inc. |
Muehlbauer Kurt Manfred Henry |
500,000 |
5.5% |
|
| 01‑02 |
13D |
BUES / Blue Spa, Inc. |
Muehlbauer Stefan |
1,000,000 |
11.0% |
|
| 12‑31 |
13D |
KRP / Kimbell Royalty Partners, LP |
Rivercrest Royalties Holdings Ii, Llc |
2,167,313 |
11.2% |
|
| 12‑31 |
13D |
KRP / Kimbell Royalty Partners, LP |
Rivercrest Capital Partners Lp |
2,813,179 |
13.5% |
|
| 12‑31 |
13D |
WINT / Windtree Therapeutics, Inc. |
Ivy Blue Holdings Ltd |
4,336,790 |
13.5% |
|
| 12‑31 |
13D |
WINT / Windtree Therapeutics, Inc. |
Panacea Venture Healthcare Fund I, L.p. |
6,791,018 |
19.8% |
|
| 12‑31 |
13D |
WINT / Windtree Therapeutics, Inc. |
China Cardiovascular Focus Ltd |
8,063,861 |
25.1% |
|
| 12‑31 |
13D |
GLU / Gabelli Global Utility & Income Trust (The) |
GAMCO INVESTORS, INC. ET AL |
88,828 |
7.06% |
|
| 12‑31 |
13D |
VUZI / Vuzix Corp |
Travers Paul J |
2,653,038 |
9.6% |
|
| 12‑31 |
13D |
NTRI / NutriSystem, Inc. |
Magnetar Financial LLC |
1,875,824 |
6.38% |
|
| 12‑31 |
13D |
PFSW / PFSweb, Inc. |
Hoak Public Equities, LP |
1,000,000 |
5.19% |
|
| 12‑31 |
13D |
BEDU / Bright Scholar Education Holdngs Ltd |
Yang Huiyan |
87,590,000 |
87.6% |
338.00 |
| 12‑31 |
13D |
BEDU / Bright Scholar Education Holdngs Ltd |
Yang Meirong |
87,590,000 |
87.6% |
20.66 |
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 |
| 01‑07 |
13D/A |
NEON / Neonode, Inc. |
Rosberg Ulf |
1,706,623 |
19.1% |
101.05 |
| 01‑07 |
13D/A |
OSTK / Overstock.com, Inc. |
BYRNE PATRICK |
5,810,819 |
18.1% |
-31.44 |
| 01‑07 |
13D/A |
RISE / Sit Rising Rate ETF |
SIT INVESTMENT ASSOCIATES INC |
1,654,900 |
66.19% |
-11.73 |
| 01‑07 |
13D/A |
PSEC / Prospect Capital Corp. |
Barry John F |
61,825,991 |
16.92% |
8.60 |
| 01‑05 |
13D/A |
BCDA / BioCardia, Inc. |
STERTZER SIMON H |
8,682,242 |
19.1% |
102.98 |
| 01‑05 |
13D/A |
SBSA / Spanish Broadcasting System, Inc. |
Meruelo Alex Living Trust |
5,000 |
0.0% |
-100.00 |
| 01‑04 |
13D/A |
GSAT / Globalstar, Inc. |
FL INVESTMENT HOLDINGS LLC |
826,818,261 |
57.52% |
8.28 |
| 01‑04 |
13D/A |
CVON / ConvergeOne Holdings, Inc. Class A |
Clearlake Capital Partners Iii (master), L.p. |
0 |
0.0% |
-100.00 |
| 01‑04 |
13D/A |
SHLO / Shiloh Industries, Inc. |
Oak Tree Holdings Llc |
7,905,266 |
33.7% |
|
| 01‑04 |
13D/A |
BATRA / Liberty Media Corporation |
GAMCO INVESTORS, INC. ET AL |
1,353,290 |
13.21% |
7.05 |
| 01‑04 |
13D/A |
JACK / Jack in the Box, Inc. |
JANA PARTNERS LLC |
1,551,521 |
% |
|
| 01‑03 |
13D/A |
SODI / Solitron Devices, Inc. |
Olesen Value Fund L.P. |
267,820 |
14.1% |
8.46 |
| 01‑03 |
13D/A |
GSL / Global Ship Lease, Inc. |
GROSS MICHAEL S |
10,752,754 |
13.5% |
-5.59 |
| 01‑03 |
13D/A |
EMG / Emergent Capital, Inc. |
Evermore Global Advisors, LLC |
375,000,001 |
23.7% |
-9.54 |
| 01‑03 |
13D/A |
MLNT / Melinta Therapeutics, Inc. |
Vatera Healthcare Partners Llc |
16,607,959 |
29.6% |
|
| 01‑03 |
13D/A |
BIOS / BioScrip, Inc. |
Coliseum Capital Management, LLC |
24,130,114 |
16.1% |
10.27 |
| 01‑03 |
13D/A |
EQGP / EQT GP Holdings LP |
EQT Gathering Holdings, LLC |
291,373,187 |
96.3% |
5.48 |
| 01‑03 |
13D/A |
BGNE / BeiGene, Ltd. |
Hillhouse Capital Advisors, Ltd. |
63,117,389 |
8.2% |
|
| 01‑03 |
13D/A |
KFS / Kingsway Financial Services Inc. |
STILWELL JOSEPH |
5,147,159 |
22.4% |
15.46 |
| 01‑03 |
13D/A |
HSGX / Histogenics Corporation |
SPLIT ROCK PARTNERS II, LP |
1,390,844 |
2.2% |
-88.72 |
| 01‑03 |
13D/A |
BGNE / BeiGene, Ltd. |
Hillhouse Capital Management, Ltd. |
13,445,978 |
1.7% |
-81.70 |
| 01‑03 |
13D/A |
IBIO / iBio Inc. |
DART KENNETH BRYAN |
9,427,364 |
48.0% |
26.65 |
| 01‑03 |
13D/A |
HBP / Huttig Building Products, Inc. |
JB CAPITAL PARTNERS LP |
2,360,317 |
9.1% |
|
| 01‑03 |
13D/A |
CAPN / Capnia, Inc. |
Jack W. Schuler Living Trust |
5,826,788 |
17.7% |
51.28 |
| 01‑02 |
13D/A |
HPTO / hopTo Inc. |
Novelty Capital Partners Lp |
1,305,711 |
13.32% |
33.87 |
| 01‑02 |
13D/A |
EMG / Emergent Capital, Inc. |
Knapp Robert C |
0 |
0.0% |
|
| 01‑02 |
13D/A |
HZN / Horizon Global Corp. |
Atlas Capital Resources Ii Lp |
2,478,351 |
9.87% |
12.29 |
| 01‑02 |
13D/A |
DCPH / Deciphera Pharmaceuticals, Inc. |
Svlsf Vi, Llc |
1,716,303 |
4.6% |
|
| 01‑02 |
13D/A |
FLL / Full House Resorts, Inc. |
GAMCO INVESTORS, INC. ET AL |
1,117,725 |
4.15% |
6.68 |
| 01‑02 |
13D/A |
VRNG / Vringo, Inc. |
Calm.com, Inc. |
4,838,710 |
14.0% |
49.89 |
| 01‑02 |
13D/A |
RHE / Regional Health Properties, Inc. |
Frischer Charles |
381,693 |
13.57% |
11.41 |
| 12‑31 |
13D/A |
CERC / Cerecor Inc. |
ARMISTICE CAPITAL, LLC |
36,414,514 |
61.6% |
6.57 |
| 12‑31 |
13D/A |
GIGA / Giga-tronics Inc. |
Alara Capital Avi Ii, Llc |
236,620 |
2.14% |
-94.92 |
| 12‑31 |
13D/A |
FCRIX / FS Credit Income Fund |
Franklin Square Holdings, L.P. |
3,726,816 |
40.5% |
13.76 |
| 12‑31 |
13D/A |
XFEYX / FS Energy Total Return Fund |
Franklin Square Holdings, L.P. |
400,766 |
11.0% |
|
| 12‑31 |
13D/A |
DFIN / Donnelley Financial Solutions |
Simcoe Capital Management, LLC |
2,467,725 |
7.2% |
22.03 |
| 12‑31 |
13D/A |
DTRM / Determine, Inc. |
Subin Neil S |
10,540,199 |
46.6% |
53.29 |
| 12‑31 |
13D/A |
DPRX / Dipexium Pharmaceuticals, Inc. |
Park West Asset Management LLC |
1,473,218 |
16.9% |
37.40 |
| 12‑31 |
13D/A |
ABIL / Ability Inc. |
Aurovsky Alexander |
832,500 |
13.5% |
-5.59 |
| 12‑31 |
13D/A |
ABIL / Ability Inc. |
Hurgin Anatoly |
832,500 |
13.5% |
-5.59 |
| 12‑31 |
13D/A |
FALC / FalconStor Software, Inc. |
ESW Capital, LLC |
128,613,493 |
24.1% |
-58.73 |
| 12‑31 |
13D/A |
NPO / EnPro Industries, Inc. |
GAMCO INVESTORS, INC. ET AL |
1,203,396 |
5.8% |
13.73 |
| 12‑31 |
13D/A |
KRP / Kimbell Royalty Partners, LP |
Fortson Ben J. |
5,267,321 |
22.7% |
51.33 |
| 12‑31 |
13D/A |
WINT / Windtree Therapeutics, Inc. |
Lph Ii Investments Ltd |
3,393,491 |
10.2% |
-27.14 |
| 12‑31 |
13D/A |
WINT / Windtree Therapeutics, Inc. |
Lph Investments Ltd |
13,902,756 |
41.9% |
|
| 12‑31 |
13D/A |
BWFG / Bankwell Financial Group, Inc. |
SEIDMAN LAWRENCE B |
572,045 |
7.29% |
21.10 |
| 12‑31 |
13D/A |
BBDC / Barings BDC, Inc. |
BABSON CAPITAL MANAGEMENT LLC |
12,527,227 |
24.4% |
10.91 |
| 12‑31 |
13D/A |
RAS / RAIT Financial Trust |
Frischer Charles |
288,100 |
15.57% |
13.40 |
| 12‑31 |
13D/A |
GLOW / Glowpoint, Inc. |
Glowpoint, Inc. |
3,895,168 |
7.7% |
|
Source: Fintel.io/activists
Submitted January 07, 2019 at 03:50PM by badpauly http://bit.ly/2Qvsb86
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