by badpauly
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.
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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 |
06‑19 |
13D |
SBOT / Stellar Biotechnologies Inc. |
Inveready Innvierte Biotech Ii, S.c.r. S.a |
502,955 |
7.0% |
|
06‑19 |
13D |
AMEH / Apollo Medical Holdings, Inc. |
Sakhrani Lakhi |
1,834,318 |
5.1% |
9.68 |
06‑19 |
13D |
SBOT / Stellar Biotechnologies Inc. |
Nijhawan Pardeep |
2,707,059 |
37.9% |
|
06‑18 |
13D |
AMEH / Apollo Medical Holdings, Inc. |
Sim Kenneth T. |
1,852,978 |
5.15% |
9.57 |
06‑18 |
13D |
AMEH / Apollo Medical Holdings, Inc. |
Lam Thomas S. |
1,852,833 |
5.15% |
9.57 |
06‑18 |
13D |
ONCT / Oncternal Therapeutics, Inc. |
Shanghai Pharmaceutical (usa) Inc. |
2,495,114 |
16.2% |
|
06‑18 |
13D |
WSTG / Wayside Technology Group, Inc. |
Nynens Simon F |
409,696 |
8.29% |
|
06‑18 |
13D |
RLH / Red Lion Hotels Corp. |
Ouray Capital Management, Llc |
1,389,721 |
5.6% |
5.66 |
06‑17 |
13D |
SBOT / Stellar Biotechnologies Inc. |
Lumira Capital Investment Management Inc. |
1,760,337 |
24.7% |
|
06‑17 |
13D |
SUM / Summit Materials, Inc. |
SOUTHEASTERN ASSET MANAGEMENT INC/TN/ |
12,820,469 |
11.4% |
-0.87 |
06‑14 |
13D |
MYOV / Myovant Sciences Ltd. |
QVT Financial LP |
40,765,599 |
45.6% |
-15.71 |
06‑14 |
13D |
MYOV / Myovant Sciences Ltd. |
Viking Global Investors LP |
40,765,599 |
45.6% |
-18.57 |
06‑14 |
13D |
MYOV / Myovant Sciences Ltd. |
Dexxon Holdings Ltd. |
40,765,599 |
45.6% |
-15.71 |
06‑14 |
13D |
MYOV / Myovant Sciences Ltd. |
Machado Patrick |
40,765,599 |
45.6% |
-15.71 |
06‑14 |
13D |
MYOV / Myovant Sciences Ltd. |
Lo Andrew |
40,765,599 |
45.6% |
-15.87 |
06‑14 |
13D |
MYOV / Myovant Sciences Ltd. |
Roivant Sciences Ltd. |
40,765,599 |
45.6% |
-15.71 |
06‑14 |
13D |
ACA.WI / Arcosa, Inc. |
VA Partners I, LLC |
4,240,963 |
8.8% |
-25.42 |
06‑14 |
13D |
AMBR / Amber Road, Inc. |
GAMCO INVESTORS, INC. ET AL |
820,626 |
2.83% |
|
06‑14 |
13D |
MDCL / Medicine Man Technologies Inc. |
Dye Capital Cann Holdings, Llc |
3,000,000 |
9.7% |
|
06‑14 |
13D |
OMAD / One Madison Corporation |
JS Capital Management LLC |
28,103,145 |
55.2% |
|
06‑14 |
13D |
OMAD / One Madison Corporation |
Asali Omar |
|
11.9% |
|
06‑13 |
13D |
NUO / Nuveen Ohio Quality Income Municipal Fund, Inc. |
Ancora Advisors, LLC |
704,196 |
3.85% |
-23.31 |
06‑13 |
13D |
ASH / Ashland Global Holdings, Inc. |
EMINENCE CAPITAL, LP |
5,173,974 |
8.3% |
|
06‑13 |
13D |
ELMD / Electromed, Inc. |
Zenith Sterling Advisers Llc |
489,700 |
5.82% |
|
06‑13 |
13D |
ELY / Callaway Golf Company |
JANA PARTNERS LLC |
8,671,810 |
% |
|
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 |
06‑20 |
13D/A |
CQPTY / Collplant Holdings Ltd |
Sagi Ami |
50,015,000 |
24.97% |
7.63 |
06‑20 |
13D/A |
EKSO / Ekso Bionics Holdings, Inc. |
Puissance Cross-border Opportunities Ii Llc |
20,632,577 |
27.8% |
-8.85 |
06‑20 |
13D/A |
LAUR / LAUREATE EDUCATION, INC. |
Cpv Partners, Llc |
101,162,980 |
46.0% |
|
06‑20 |
13D/A |
CAMT / Camtek Ltd. |
PCB LTD |
9,011,368 |
23.45% |
-44.46 |
06‑19 |
13D/A |
ONS / Oncobiologics, Inc. |
Gms Tenshi Holdings Pte. Ltd |
23,529,005 |
62.4% |
-11.99 |
06‑19 |
13D/A |
EDRY / EuroDry Ltd. |
BlackRock Inc. |
550,619 |
20.8% |
-15.45 |
06‑19 |
13D/A |
EMKR / EMCORE Corp. |
Northern Right Capital Management, L.P. |
1,432,155 |
5.14% |
-42.76 |
06‑19 |
13D/A |
LAUR / LAUREATE EDUCATION, INC. |
KKR 2006 Fund (Overseas), Limited Partnership |
110,146,724 |
50.1% |
-9.89 |
06‑19 |
13D/A |
NHF / NexPoint Credit Strategies Fund |
HIGHLAND CAPITAL MANAGEMENT LP |
6,027,189 |
13.13% |
-21.85 |
06‑19 |
13D/A |
WHF / WhiteHorse Finance, Inc. |
TAMER ANTHONY |
8,456,117 |
41.2% |
-21.52 |
06‑19 |
13D/A |
WHF / WhiteHorse Finance, Inc. |
MNAYMNEH SAMI |
8,466,697 |
41.2% |
-21.52 |
06‑18 |
13D/A |
SIG / Signet Jewelers Ltd. |
Green Equity Investors VI, L.P. |
7,239,263 |
12.2% |
38.64 |
06‑18 |
13D/A |
LAUR / LAUREATE EDUCATION, INC. |
Wengen Alberta, LP |
101,147,116 |
45.99% |
-10.53 |
06‑18 |
13D/A |
NERV / Minerva Neurosciences, Inc. |
Index Venture Associates III Ltd |
2,297,995 |
5.9% |
-7.81 |
06‑18 |
13D/A |
SHSP / SharpSpring, Inc. |
Allen Daniel |
0 |
0.0% |
-100.00 |
06‑18 |
13D/A |
HEB / Hemispherx BioPharma, Inc. |
Equels Thomas K. |
387,891,414 |
4.2% |
-28.81 |
06‑17 |
13D/A |
PRCP / Perceptron, Inc. |
HARBERT MICROCAP PARTNERS FUND, LP |
999,227 |
10.4% |
92.59 |
06‑17 |
13D/A |
AER / AerCap Holdings N.V. |
Waha Capital PJSC |
11,124,477 |
7.97% |
-12.13 |
06‑17 |
13D/A |
FTD / FTD Companies, Inc. |
Nantahala Capital Management, LLC |
0 |
0.0% |
-100.00 |
06‑17 |
13D/A |
AAT / American Assets Trust Inc |
American Assets Trust, Inc. |
24,417,427 |
32.8% |
-14.14 |
06‑17 |
13D/A |
TRVG / Trivago NV |
PAR INVESTMENT PARTNERS LP |
20,673,796 |
41.3% |
19.71 |
06‑17 |
13D/A |
VVR / Van Kampen Senior Income Trust |
Saba Capital Management, L.P. |
21,826,069 |
12.12% |
7.16 |
06‑17 |
13D/A |
HIO / Western Asset High Income Opportunity Income Fund, Inc. |
Saba Capital Management, L.P. |
15,288,315 |
11.951% |
10.96 |
06‑17 |
13D/A |
SIEN / Sientra, Inc. |
Abingworth LLP |
2,435,542 |
4.9% |
-44.94 |
06‑14 |
13D/A |
SKY / Skyline Corp. |
MAK CAPITAL ONE LLC |
3,439,759 |
6.1% |
-14.08 |
06‑14 |
13D/A |
OESX / Orion Energy Systems, Inc. |
KAMIN PETER H |
1,454,600 |
4.9% |
-44.94 |
06‑14 |
13D/A |
FRSH / Papa Murphy’s Holdings, Inc. |
MFP Investors LLC |
0 |
0.0% |
-100.00 |
06‑14 |
13D/A |
DISCA / Discovery Communications, Inc. |
Advance/newhouse Programming Partnership |
70,673,242 |
30.9% |
|
06‑14 |
13D/A |
PCTI / PC-Tel, Inc. |
Chain Of Lakes Investment Fund, Llc |
1,736,549 |
9.4% |
11.90 |
06‑13 |
13D/A |
TPHS / Trinity Place Holdings Inc. |
MARCATO CAPITAL MANAGEMENT LP |
0 |
0.0% |
-100.00 |
06‑13 |
13D/A |
EARS / Auris Medical Holding AG |
Meyer Thomas |
489,573 |
14.4% |
-46.86 |
06‑13 |
13D/A |
LGCY / Legacy Reserves LP |
Baines Creek Capital, LLC |
1,406,609 |
1.2% |
-87.76 |
06‑13 |
13D/A |
BFFTF / Biofrontera AG |
Deutsche Balaton Aktiengesellschaft |
11,080,425 |
24.8% |
5.98 |
06‑13 |
13D/A |
BKS / Barnes & Noble, Inc. |
Schottenfeld Opportunities Fund Ii, Lp |
2,453,028 |
3.4% |
-50.72 |
Source: Fintel.io/activists Fintel.io/labs