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 |
| 10‑12 |
13D |
DVMT / Dell Technologies Inc. |
ICAHN CARL C |
16,538,492 |
8.3% |
|
| 10‑12 |
13D |
GRTS / Gritstone Oncology, Inc. |
Clarus Lifesciences III, L.P. |
2,567,445 |
8.9% |
|
| 10‑12 |
13D |
CTACU / ChaSerg Technology Acquisition Corp. Unit |
Chaserg Technology Sponsor Llc |
6,250,000 |
23.7% |
|
| 10‑12 |
13D |
KALA / Kala Pharmaceuticals, Inc. |
Longitude Capital Partners II, LLC |
28,953,662 |
9.0% |
-3.23 |
| 10‑12 |
13D |
FRBK / Republic First Bancorp, Inc. |
CPV Holdings, LLC |
5,606,001 |
9.5% |
-4.04 |
| 10‑11 |
13D |
NNVC / NanoViricides, Inc. |
Boniuk Milton |
10,462,869 |
15.2% |
|
| 10‑11 |
13D |
KOD / Kodiak Sciences Inc. |
Baker Brothers Advisors LP |
9,295,115 |
24.4% |
|
| 10‑11 |
13D |
INFN / Infinera Corp. |
Oaktree Optical Holdings, L.p. |
20,975,384 |
12.1% |
|
| 10‑11 |
13D |
ANDV / Andeavor Corp. |
Marathon Petroleum Corp |
156,173,128 |
63.6% |
-36.40 |
| 10‑11 |
13D |
QIWI / QIWI plc |
Solonin Sergey |
12,106,822 |
20.7% |
2.88 |
| 10‑10 |
13D |
UROV / Urovant Sciences Ltd. |
Lo Andrew |
22,703,669 |
75.6% |
|
| 10‑10 |
13D |
UROV / Urovant Sciences Ltd. |
Dexxon Holdings Ltd. |
22,703,669 |
75.6% |
|
| 10‑10 |
13D |
UROV / Urovant Sciences Ltd. |
Viking Global Investors LP |
22,703,669 |
75.6% |
|
| 10‑10 |
13D |
UROV / Urovant Sciences Ltd. |
Svf Investments (uk) Ltd |
22,703,669 |
75.6% |
|
| 10‑10 |
13D |
UROV / Urovant Sciences Ltd. |
Roivant Sciences Ltd. |
22,703,669 |
75.6% |
|
| 10‑10 |
13D |
UROV / Urovant Sciences Ltd. |
Machado Patrick |
22,703,669 |
75.6% |
|
| 10‑10 |
13D |
AXON / Axovant Sciences Ltd. |
QVT Financial LP |
22,703,669 |
75.6% |
3.42 |
| 10‑10 |
13D |
EMKR / EMCORE Corp. |
Northern Right Capital Management, L.P. |
1,507,969 |
5.5% |
14.58 |
| 10‑10 |
13D |
EXDW / Exceed World, Inc. |
E-learning Laboratory Co., Ltd. |
0 |
% |
|
| 10‑10 |
13D |
ETTX / Entasis Therapeutics Holdings Inc. |
Sofinnova Venture Partners IX, L.P. |
1,180,178 |
9.0% |
|
| 10‑10 |
13D |
EXDW / Exceed World, Inc. |
Yoshida Tomoo |
28,994,000 |
% |
|
| 10‑10 |
13D |
EXDW / Exceed World, Inc. |
Koga Keiichi |
28,994,000 |
% |
|
| 10‑10 |
13D |
EXDW / Exceed World, Inc. |
Force International Holdings Ltd |
0 |
% |
|
| 10‑10 |
13D |
EXDW / Exceed World, Inc. |
Force Internationale Ltd |
27,594,000 |
% |
|
| 10‑09 |
13D |
ETTX / Entasis Therapeutics Holdings Inc. |
Clarus Lifesciences III, L.P. |
1,623,405 |
12.4% |
|
| 10‑09 |
13D |
FRLF / Freedom Leaf Inc. |
Merida Capital Partners Ii Lp |
17,000,000 |
8.7% |
|
| 10‑09 |
13D |
STRO / SUTRO BIOPHARMA INC |
SVLSF V, LLC |
942,789 |
4.1% |
|
| 10‑09 |
13D |
ETTX / Entasis Therapeutics Holdings Inc. |
TPG Group Holdings (SBS) Advisors, Inc. |
1,020,748 |
7.81% |
|
| 10‑09 |
13D |
ICAD / icad, inc. |
SASSINE ANDY |
1,275,774 |
7.6% |
33.33 |
| 10‑09 |
13D |
ETTX / Entasis Therapeutics Holdings Inc. |
Frazier Life Sciences Viii, L.p. |
1,349,953 |
10.3% |
|
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 |
| 10‑15 |
13D/A |
RISE / Sit Rising Rate ETF |
SIT INVESTMENT ASSOCIATES INC |
1,973,700 |
79.74% |
16.09 |
| 10‑12 |
13D/A |
ACY / Aerocentury Corp. |
JetFleet Holding Corp. |
0 |
0.0% |
-100.00 |
| 10‑12 |
13D/A |
BIOC / Biocept, Inc. |
Ally Bridge LB Healthcare Master Fund Ltd |
96,710 |
3.13% |
-78.35 |
| 10‑12 |
13D/A |
ASTC / Astrotech Corp. |
Pickens Thomas Boone III |
1,619,184 |
29.83% |
|
| 10‑12 |
13D/A |
SODI / Solitron Devices, Inc. |
Olesen Value Fund L.P. |
225,320 |
11.8% |
22.92 |
| 10‑12 |
13D/A |
FRED / Fred’s, Inc. |
Alden Global Capital LLC |
9,506,617 |
25.5% |
|
| 10‑12 |
13D/A |
DAVE / Famous Dave’s of America, Inc. |
PW Partners Atlas Fund LP |
632,376 |
7.0% |
-20.45 |
| 10‑12 |
13D/A |
MDM / Mountain Province Diamonds Inc. |
Vertigol Unlimited Co |
59,078,659 |
28.1% |
102.16 |
| 10‑12 |
13D/A |
AZRE / Azure Power Global Limited |
CAISSE DE DEPOT ET PLACEMENT DU QUEBEC |
16,443,567 |
40.3% |
24.00 |
| 10‑11 |
13D/A |
AMGP / Antero Midstream GP LP |
Warren Glen C Jr |
14,931,079 |
8.0% |
|
| 10‑11 |
13D/A |
AMGP / Antero Midstream GP LP |
RADY PAUL M |
23,212,417 |
12.5% |
|
| 10‑11 |
13D/A |
VLT / Invesco Van Kampen High Income Trust II |
Saba Capital Management, L.P. |
666,803 |
8.21% |
-16.99 |
| 10‑11 |
13D/A |
HSGX / Histogenics Corporation |
Wilmslow Estates Ltd |
5,258,859 |
8.3% |
-36.64 |
| 10‑11 |
13D/A |
NX / Quanex Building Products Corp. |
Praesidium Investment Management Company, LLC |
1,580,180 |
4.8% |
-50.00 |
| 10‑11 |
13D/A |
ACOR / Acorda Therapeutics, Inc. |
SCOPIA CAPITAL MANAGEMENT LP |
6,608,453 |
13.9% |
-9.74 |
| 10‑11 |
13D/A |
FG / FGL Holdings |
Blackstone Holdings III L.P. |
43,966,894 |
19.8% |
|
| 10‑11 |
13D/A |
HRI / Herc Holdings Inc. |
GAMCO INVESTORS, INC. ET AL |
3,547,291 |
12.46% |
7.69 |
| 10‑11 |
13D/A |
MCN / Madison Covered Call & Equity Strategy Fund |
Karpus Management, Inc. |
4,572,642 |
16.37% |
53.42 |
| 10‑11 |
13D/A |
RLJE / RLJ Entertainment, Inc. |
Sudbury Capital Fund, LP |
1,210,195 |
5.1% |
-35.44 |
| 10‑10 |
13D/A |
GCP / GCP Applied Technologies Inc. |
40 North Management LLC |
10,102,082 |
14.0% |
14.75 |
| 10‑10 |
13D/A |
TRQ / Turquoise Hill Resources Ltd. |
SailingStone Capital Partners LLC |
282,693,212 |
% |
|
| 10‑10 |
13D/A |
CSIQ / Canadian Solar Inc. |
Lion Point Capital, LP |
4,507,055 |
7.7% |
28.33 |
| 10‑10 |
13D/A |
BBDC / Barings BDC, Inc. |
BABSON CAPITAL MANAGEMENT LLC |
9,095,181 |
17.7% |
|
| 10‑10 |
13D/A |
ADAP / Adaptimmune Therapeutics plc |
ORBIMED ADVISORS LLC |
29,407,858 |
4.69% |
-13.79 |
| 10‑10 |
13D/A |
AKP / Alliance California Municipal Income Fund, Inc. |
Bulldog Investors, LLC |
1,061,436 |
% |
|
| 10‑09 |
13D/A |
PHII / PHI, Inc. |
Alesia Value Fund LLC |
378,921 |
2.9% |
11.54 |
| 10‑09 |
13D/A |
OPNT / Opiant Pharmaceuticals, Inc. |
Pollack Kevin |
148,834 |
4.99% |
-81.72 |
| 10‑09 |
13D/A |
MDXG / MiMedx Group, Inc. |
PETIT PARKER H |
4,310,595 |
3.94% |
-40.66 |
| 10‑09 |
13D/A |
GALE / Galena Biopharma, Inc. |
Equilibria Capital Management Ltd |
673,671 |
3.4% |
-85.15 |
| 10‑09 |
13D/A |
PTE / POLARITYTE, INC. |
Stetson John |
258,563 |
1.2% |
|
| 10‑09 |
13D/A |
AFW / American Financial Group, Inc. |
Lindner Carl H Iii |
6,618,711 |
7.41% |
|
| 10‑09 |
13D/A |
RLJE / RLJ Entertainment, Inc. |
GAMCO INVESTORS, INC. ET AL |
415,000 |
1.83% |
-36.46 |
| 10‑09 |
13D/A |
SWX / Southwest Gas Corp. |
GAMCO INVESTORS, INC. ET AL |
1,325,200 |
2.7% |
-13.74 |
| 10‑09 |
13D/A |
ATRC / AtriCure, Inc. |
Hudson Executive Capital LP |
1,882,494 |
% |
|
| 10‑09 |
13D/A |
CPB / Campbell Soup Co. |
Third Point LLC |
21,000,000 |
6.98% |
23.54 |
| 10‑09 |
13D/A |
SYNT / Syntel, Inc. |
Atos S.e. |
100 |
100.0% |
95.81 |
| 10‑09 |
13D/A |
INSW / International Seaways, Inc. |
BlueMountain Capital Management, LLC |
3,104,548 |
10.6% |
-9.40 |
| 10‑09 |
13D/A |
NITE / Nightstar Therapeutics plc |
New Enterprise Associates 15, L.p. |
6,662,532 |
20.3% |
|
| 10‑09 |
13D/A |
AT / Atlantic Power Corp. |
MANGROVE PARTNERS |
6,896,093 |
6.2% |
21.57 |
| 10‑09 |
13D/A |
AIRI / Air Industries Group |
Richmond Brothers, Inc. |
5,451,558 |
19.5% |
21.12 |
| 10‑09 |
13D/A |
CUTR / Cutera, Inc. |
GAMCO INVESTORS, INC. ET AL |
752,600 |
5.44% |
16.74 |
| 10‑09 |
13D/A |
CSU / Capital Senior Living Corp. |
Levinson Sam |
2,939,490 |
9.4% |
20.51 |
Source: Fintel.io/activists