Significant Activist Hedge Fund Activity (Last 7 Days)

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.

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
10‑29	13D	PHAS / PhaseBio Pharmaceuticals Inc	ASTRAZENECA PLC	3,004,554	12.6%
10‑29	13D	CYAN / Cyanotech Corp.	Meridian OHC Partners, LP	749,610	13.3%	0.00
10‑26	13D	NRCG / NRC GROUP HOLDINGS CORP.	Jfl Gp Investors Iii, Llc	22,232,312	59.9%
10‑26	13D	SBSA / Spanish Broadcasting System, Inc.	Bluestone Financial LTD	765,000	18.358%	26.52
10‑26	13D	CSX / CSX Corp.	Mr Argent Advisor Llc	42,765,207	5.1%
10‑26	13D	NRCG / NRC GROUP HOLDINGS CORP.	CYRUS CAPITAL PARTNERS, L.P.	5,703,415	13.9%
10‑26	13D	MDQZZ / MedEquities Realty Trust, Inc.	GOLDMAN SACHS GROUP INC	2,419,626	7.6%	7.04
10‑26	13D	RYES / Rise Resources Inc.	Yamana Gold Inc.	26,250,000	17.8%
10‑26	13D	CHPE / Chaparral Energy Inc	Strategic Value Partners, LLC	7,808,937	16.8%
10‑26	13D	GSHT / Gores Holdings II, Inc.	Gores Sponsor Ii Llc	9,292,216	5.8%
10‑26	13D	FLKS / Flex Pharma, Inc.	Westphal Christoph H	3,941,118	21.8%
10‑26	13D	ALN / American Lorain Corp.	Jin Yimin	1,176,471	21.4%
10‑26	13D	ALN / American Lorain Corp.	Yu Hongxiang	1,176,471	21.4%
10‑26	13D	EGC / Energy XXI Gulf Coast, Inc.	OXFORD ASSET MANAGEMENT	0	0.0%
10‑26	13D	PEYE / Precision Optics Corp, Inc.	PESSIN NORMAN H	763,334	1.0%
10‑25	13D	NINE / Ninetowns Internet Technology Group Co Ltd	Frazier Warren Lynn	4,738,514	15.8%
10‑25	13D	FVCB / FVCBankcorp, Inc.	Bender Morton A	749,760	5.85%
10‑25	13D	ALLO / Allogene Therapeutics, Inc.	TPG Group Holdings (SBS) Advisors, Inc.	23,135,061	19.6%
10‑25	13D	MRKR / Marker Therapeutics, Inc.	New Enterprise Associates 16, L.p.	8,750,000	17.8%
10‑25	13D	PVNNF / PV Nano Cell Ltd.	Gtrimg Investments Ltd.	76,776,710	76.89%
10‑24	13D	VXBT / Vortex Blockchain Technologies Inc.	Bergman Craig	61,100,000	80.93%
10‑24	13D	GMO / General Moly, Inc.	Hansen Bruce D	9,458,630	6.7%
10‑23	13D	ESMC / Escalon Medical Corp.	Depiano Richard J		37.67%
10‑23	13D	TLR / Timberline Resources Corporation	Matlack William Fuller	8,308,200	13.94%
10‑23	13D	REN / Resolute Energy Corporation	Lion Point Capital, LP	2,218,708	9.6%	123.26
10‑22	13D	PRTS / U.S. Auto Parts Network, Inc.	Philotimo Fund, LP	2,093,937	6.0%
10‑22	13D	ESMC / Escalon Medical Corp.	Escalon Medical Corp		37.67%
10‑22	13D	PCRX / Pacira Pharmaceuticals, Inc.	Consonance Capital Management LP	3,652,134	8.9%
10‑22	13D	ALLO / Allogene Therapeutics, Inc.	PFIZER INC	22,032,040	18.7%
10‑22	13D	ARAV / Aravive, Inc.	Liu Qianye	859,766	7.7%
10‑22	13D	KRBF / Kreido Biofuels, Inc.	Dou Chun Ju	55,485,542	28.36%
10‑22	13D	SBNB / Scorpio Tankers Inc.	Scorpio Bulkers Inc.	54,054,054	10.9%
10‑22	13D	HK / Halcon Resources Corporation	FIR TREE INC.	8,390,167	5.22%
10‑22	13D	CORI / Corium International, Inc.	Gurnet Holding Co	9,353,304	25.6%

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
10‑29	13D/A	RISE / Sit Rising Rate ETF	SIT INVESTMENT ASSOCIATES INC	2,133,700	76.2%	-8.04
10‑29	13D/A	IVTY / Invuity, Inc.	GARDNER LEWIS ASSET MANAGEMENT L P	0	0.0%	-100.00
10‑26	13D/A	SHAK / Shake Shack, Inc.	Select Equity Group, L.P.	152,401	0.41%	-72.67
10‑26	13D/A	PF / Pinnacle Foods, Inc.	JANA PARTNERS LLC	0	%
10‑26	13D/A	USEL / usell.com, Inc.	Schreyer Leslie J	6,957,837	24.2%	-14.49
10‑26	13D/A	FRED / Fred’s, Inc.	Alden Global Capital LLC	12,386,617	33.2%	6.41
10‑26	13D/A	IPCI / Intellipharmaceutics International Inc.	ODIDI HOLDINGS INC.	1,164,885	12.7%	-43.68
10‑26	13D/A	FLKS / Flex Pharma, Inc.	Longwood Fund II, L.P.	3,941,118	21.8%	-43.81
10‑26	13D/A	DHCP / Ditech Holding Corporation	First Pacific Advisors, LLC	2,362,132	33.4%
10‑26	13D/A	INAP / Internap Corporation	GAMCO INVESTORS, INC. ET AL	2,697,999	10.61%	9.04
10‑26	13D/A	UGA / United States Gasoline Fund LP	Counsel Portfolio Services Inc.	77,290	5.9453%	-24.88
10‑26	13D/A	PRTS / U.S. Auto Parts Network, Inc.	Philotimo Fund, LP	2,613,427	7.5%	25.00
10‑26	13D/A	JACK / Jack in the Box, Inc.	JANA PARTNERS LLC	1,831,007	%
10‑25	13D/A	BH / Biglari Holdings Inc.	GAMCO INVESTORS, INC. ET AL	11,091	5.36%	48.07
10‑25	13D/A	SELB / Selecta Biosciences, Inc.	ORBIMED ADVISORS LLC	1,579,064	7.05%	-14.86
10‑25	13D/A	NHF / NexPoint Credit Strategies Fund	HIGHLAND CAPITAL MANAGEMENT LP	5,407,155	16.8%	9.80
10‑25	13D/A	PLG / Platinum Group Metals Ltd.	Liberty Metals & Mining Holdings, LLC	56,160,609	18.06%
10‑24	13D/A	PERY / Ellis Perry International, Inc.	FELDENKREIS GEORGE	2,988,144	100.0%	825.93
10‑24	13D/A	ASTE / Astec Industries, Inc.	GAMCO INVESTORS, INC. ET AL	1,281,655	5.55%	16.84
10‑24	13D/A	ZIVO / Zivo Bioscience, Inc.	Strome Mezzanine Fund, Lp	87,790,590	36.7%	63.84
10‑24	13D/A	MRVL / Marvell Technology Group Ltd.	Starboard Value LP	38,563,990	5.9%	13.46
10‑24	13D/A	HBM / HudBay Minerals Inc.	Waterton Mining Parallel Fund Offshore Master, Lp	19,234,470	7.4%	5.71
10‑24	13D/A	EIGR / Eiger BioPharmaceuticals, Inc.	INTERWEST PARTNERS X LP	1,360,027	9.5%	-58.70
10‑24	13D/A	AZRE / Azure Power Global Limited	Ifc Gif Investment Co I	8,389,452	20.6%
10‑24	13D/A	AZRE / Azure Power Global Limited	International Finance Corp	11,673,087	28.6%	-5.92
10‑23	13D/A	TST / TheStreet, Inc.	Tcv Vi L P	4,397,377	8.9%	-29.37
10‑23	13D/A	ICTV / ICTV Brands Inc.	PESSIN NORMAN H	5,171,980	9.7%	-11.01
10‑23	13D/A	LEN.B / Lennar Corp.	GAMCO INVESTORS, INC. ET AL	1,601,441	4.24%	-6.19
10‑23	13D/A	TXSO / Texas South Energy, Inc.	MAYELL MICHAEL J	173,616,675	16.3%	-5.23
10‑23	13D/A	PENC / PEN Inc.	Berman Ronald J	389,411	7.0%	-50.00
10‑22	13D/A	PHII / PHI, Inc.	Alesia Value Fund LLC	519,727	4.0%	37.93
10‑22	13D/A	VLT / Invesco Van Kampen High Income Trust II	Saba Capital Management, L.P.	760,168	9.36%	14.01
10‑22	13D/A	DBD / Diebold, Inc.	ATLANTIC INVESTMENT MANAGEMENT INC	5,220,417	6.9%	-24.18
10‑22	13D/A	METC / Ramaco Resources, Inc.	Yorktown Energy Partners IX, L.P.	12,971,525	32.4%	-14.29
10‑22	13D/A	AOD / Alpine Total Dynamic Dividend Fund	Saba Capital Management, L.P.	6,048,035	5.62%	-17.23
10‑22	13D/A	SMIT / Schmitt Industries, Inc.	Sententia Capital Management, Llc	350,779	8.8%	17.33
10‑22	13D/A	INAP / Internap Corporation	GAMCO INVESTORS, INC. ET AL	2,474,526	9.73%	-13.89
10‑22	13D/A	TG / Tredegar Corp.	GAMCO INVESTORS, INC. ET AL	4,022,882	12.12%	-5.90
10‑22	13D/A	SBNB / Scorpio Tankers Inc.	Lolli-ghetti Annalisa	23,377,206	4.71%	-14.36
10‑22	13D/A	OHGI / One Horizon Group, Inc.	Wu Zhanming	154,840,391	24.3%	-42.96
10‑22	13D/A	PZZA / Papa John’s International, Inc.	Schnatter John H	9,914,849	30.9%	17.45

Source: Fintel.io/activists