Significant Activist Hedge Fund Activity (Last 7 Days)

by
Share this story

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.

DateFormCompanyInvestorSharesOwnershipChange
10‑2913DPHAS / PhaseBio Pharmaceuticals IncASTRAZENECA PLC3,004,55412.6%
10‑2913DCYAN / Cyanotech Corp.Meridian OHC Partners, LP749,61013.3%0.00
10‑2613DNRCG / NRC GROUP HOLDINGS CORP.Jfl Gp Investors Iii, Llc22,232,31259.9%
10‑2613DSBSA / Spanish Broadcasting System, Inc.Bluestone Financial LTD765,00018.358%26.52
10‑2613DCSX / CSX Corp.Mr Argent Advisor Llc42,765,2075.1%
10‑2613DNRCG / NRC GROUP HOLDINGS CORP.CYRUS CAPITAL PARTNERS, L.P.5,703,41513.9%
10‑2613DMDQZZ / MedEquities Realty Trust, Inc.GOLDMAN SACHS GROUP INC2,419,6267.6%7.04
10‑2613DRYES / Rise Resources Inc.Yamana Gold Inc.26,250,00017.8%
10‑2613DCHPE / Chaparral Energy IncStrategic Value Partners, LLC7,808,93716.8%
10‑2613DGSHT / Gores Holdings II, Inc.Gores Sponsor Ii Llc9,292,2165.8%
10‑2613DFLKS / Flex Pharma, Inc.Westphal Christoph H3,941,11821.8%
10‑2613DALN / American Lorain Corp.Jin Yimin1,176,47121.4%
10‑2613DALN / American Lorain Corp.Yu Hongxiang1,176,47121.4%
10‑2613DEGC / Energy XXI Gulf Coast, Inc.OXFORD ASSET MANAGEMENT00.0%
10‑2613DPEYE / Precision Optics Corp, Inc.PESSIN NORMAN H763,3341.0%
10‑2513DNINE / Ninetowns Internet Technology Group Co LtdFrazier Warren Lynn4,738,51415.8%
10‑2513DFVCB / FVCBankcorp, Inc.Bender Morton A749,7605.85%
10‑2513DALLO / Allogene Therapeutics, Inc.TPG Group Holdings (SBS) Advisors, Inc.23,135,06119.6%
10‑2513DMRKR / Marker Therapeutics, Inc.New Enterprise Associates 16, L.p.8,750,00017.8%
10‑2513DPVNNF / PV Nano Cell Ltd.Gtrimg Investments Ltd.76,776,71076.89%
10‑2413DVXBT / Vortex Blockchain Technologies Inc.Bergman Craig61,100,00080.93%
10‑2413DGMO / General Moly, Inc.Hansen Bruce D9,458,6306.7%
10‑2313DESMC / Escalon Medical Corp.Depiano Richard J37.67%
10‑2313DTLR / Timberline Resources CorporationMatlack William Fuller8,308,20013.94%
10‑2313DREN / Resolute Energy CorporationLion Point Capital, LP2,218,7089.6%123.26
10‑2213DPRTS / U.S. Auto Parts Network, Inc.Philotimo Fund, LP2,093,9376.0%
10‑2213DESMC / Escalon Medical Corp.Escalon Medical Corp37.67%
10‑2213DPCRX / Pacira Pharmaceuticals, Inc.Consonance Capital Management LP3,652,1348.9%
10‑2213DALLO / Allogene Therapeutics, Inc.PFIZER INC22,032,04018.7%
10‑2213DARAV / Aravive, Inc.Liu Qianye859,7667.7%
10‑2213DKRBF / Kreido Biofuels, Inc.Dou Chun Ju55,485,54228.36%
10‑2213DSBNB / Scorpio Tankers Inc.Scorpio Bulkers Inc.54,054,05410.9%
10‑2213DHK / Halcon Resources CorporationFIR TREE INC.8,390,1675.22%
10‑2213DCORI / Corium International, Inc.Gurnet Holding Co9,353,30425.6%

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.

DateFormCompanyInvestorSharesOwnershipChange
10‑2913D/ARISE / Sit Rising Rate ETFSIT INVESTMENT ASSOCIATES INC2,133,70076.2%-8.04
10‑2913D/AIVTY / Invuity, Inc.GARDNER LEWIS ASSET MANAGEMENT L P00.0%-100.00
10‑2613D/ASHAK / Shake Shack, Inc.Select Equity Group, L.P.152,4010.41%-72.67
10‑2613D/APF / Pinnacle Foods, Inc.JANA PARTNERS LLC0%
10‑2613D/AUSEL / usell.com, Inc.Schreyer Leslie J6,957,83724.2%-14.49
10‑2613D/AFRED / Fred’s, Inc.Alden Global Capital LLC12,386,61733.2%6.41
10‑2613D/AIPCI / Intellipharmaceutics International Inc.ODIDI HOLDINGS INC.1,164,88512.7%-43.68
10‑2613D/AFLKS / Flex Pharma, Inc.Longwood Fund II, L.P.3,941,11821.8%-43.81
10‑2613D/ADHCP / Ditech Holding CorporationFirst Pacific Advisors, LLC2,362,13233.4%
10‑2613D/AINAP / Internap CorporationGAMCO INVESTORS, INC. ET AL2,697,99910.61%9.04
10‑2613D/AUGA / United States Gasoline Fund LPCounsel Portfolio Services Inc.77,2905.9453%-24.88
10‑2613D/APRTS / U.S. Auto Parts Network, Inc.Philotimo Fund, LP2,613,4277.5%25.00
10‑2613D/AJACK / Jack in the Box, Inc.JANA PARTNERS LLC1,831,007%
10‑2513D/ABH / Biglari Holdings Inc.GAMCO INVESTORS, INC. ET AL11,0915.36%48.07
10‑2513D/ASELB / Selecta Biosciences, Inc.ORBIMED ADVISORS LLC1,579,0647.05%-14.86
10‑2513D/ANHF / NexPoint Credit Strategies FundHIGHLAND CAPITAL MANAGEMENT LP5,407,15516.8%9.80
10‑2513D/APLG / Platinum Group Metals Ltd.Liberty Metals & Mining Holdings, LLC56,160,60918.06%
10‑2413D/APERY / Ellis Perry International, Inc.FELDENKREIS GEORGE2,988,144100.0%825.93
10‑2413D/AASTE / Astec Industries, Inc.GAMCO INVESTORS, INC. ET AL1,281,6555.55%16.84
10‑2413D/AZIVO / Zivo Bioscience, Inc.Strome Mezzanine Fund, Lp87,790,59036.7%63.84
10‑2413D/AMRVL / Marvell Technology Group Ltd.Starboard Value LP38,563,9905.9%13.46
10‑2413D/AHBM / HudBay Minerals Inc.Waterton Mining Parallel Fund Offshore Master, Lp19,234,4707.4%5.71
10‑2413D/AEIGR / Eiger BioPharmaceuticals, Inc.INTERWEST PARTNERS X LP1,360,0279.5%-58.70
10‑2413D/AAZRE / Azure Power Global LimitedIfc Gif Investment Co I8,389,45220.6%
10‑2413D/AAZRE / Azure Power Global LimitedInternational Finance Corp11,673,08728.6%-5.92
10‑2313D/ATST / TheStreet, Inc.Tcv Vi L P4,397,3778.9%-29.37
10‑2313D/AICTV / ICTV Brands Inc.PESSIN NORMAN H5,171,9809.7%-11.01
10‑2313D/ALEN.B / Lennar Corp.GAMCO INVESTORS, INC. ET AL1,601,4414.24%-6.19
10‑2313D/ATXSO / Texas South Energy, Inc.MAYELL MICHAEL J173,616,67516.3%-5.23
10‑2313D/APENC / PEN Inc.Berman Ronald J389,4117.0%-50.00
10‑2213D/APHII / PHI, Inc.Alesia Value Fund LLC519,7274.0%37.93
10‑2213D/AVLT / Invesco Van Kampen High Income Trust IISaba Capital Management, L.P.760,1689.36%14.01
10‑2213D/ADBD / Diebold, Inc.ATLANTIC INVESTMENT MANAGEMENT INC5,220,4176.9%-24.18
10‑2213D/AMETC / Ramaco Resources, Inc.Yorktown Energy Partners IX, L.P.12,971,52532.4%-14.29
10‑2213D/AAOD / Alpine Total Dynamic Dividend FundSaba Capital Management, L.P.6,048,0355.62%-17.23
10‑2213D/ASMIT / Schmitt Industries, Inc.Sententia Capital Management, Llc350,7798.8%17.33
10‑2213D/AINAP / Internap CorporationGAMCO INVESTORS, INC. ET AL2,474,5269.73%-13.89
10‑2213D/ATG / Tredegar Corp.GAMCO INVESTORS, INC. ET AL4,022,88212.12%-5.90
10‑2213D/ASBNB / Scorpio Tankers Inc.Lolli-ghetti Annalisa23,377,2064.71%-14.36
10‑2213D/AOHGI / One Horizon Group, Inc.Wu Zhanming154,840,39124.3%-42.96
10‑2213D/APZZA / Papa John’s International, Inc.Schnatter John H9,914,84930.9%17.45

Source: Fintel.io/activists

1 view